Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports, Priorities Letters and Reports on FINRA’s Examination and Risk Monitoring Program, to enhance their compliance programs. Firms may consider these practices, if relevant to their business model. We welcome feedback on how our firms use FINRA publications.Assessment of Applicability:
I want you to know that leveraged and inverse funds are an extremely important part of my investment strategy.
These types of funds help me to find above average returns and dividends on my capital and I use them as a supplement to the bulk of my portfolio.
This is America, the Land of the Free, not communist China. Capitalism IS about taking risks, AND about taking responsibility for the results. I am an American adult. I expect to be treated like one. You may be a Democrat, but you are still an American. Please don't forget that.
We do not need less choices as investors we need more, especially short term investments that can help us use a smaller amount of capital to hedge our investments. Keep leveraged and inverse funds. Thank you.
It is not your job to tell us what we cant Invest in on the stock exchange! Leveraged ETFs were created to trade! If I want to put my hard earned capital at risk in a leveraged ETF I have the right to! Its my money!
Free market capitalism is a bastion of personal liberty. It is what makes the United States of America the greatest nation in history. I do not need protection from freedom. Your time could be better spent in ways to numerous to list - BUZZ OFF!
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that promotes vibrant capital markets. The purpose of this Notice is to encourage employees of member firms and other interested
The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
Guidance on Special Purpose Acquisition Companies
FINRA Board, This is a major regulatory overreach. I would hope that this rule regarding individual investors' access to "complex" investments was proposed with the best of intentions - to protect investors from tking on unnecessary risk. But it is not up to you to determine the level of risk that an individual investor is willing to take on - it is up to the investor, and the
