Rather eliminating the option to purchase and trade these securities why not require the fund creators to use a pre determined rate of proceeds to produce content and learning material that can present the risks to investors in an easy to understand way. The average retail investor is already extremely limited to the types of investments they can make and this will only exacerbate this problem
You do not have authority to restrict US citizens from buying and selling funds of any kind that are available on the market. If you restrict individuals purchasing funds in any way, this contradicts capitalism. Experience, training and net worth are irrelevant in regards to my ability to purchase and sell funds as I please. I am a United States citizen and I can use my purchasing power as I
I Scot Robinson should have access to leveraged and inverse funds. I buy and sell them regularly. As a tax paying American citizen, I should have access to the same funds as elite rich people. Taking away my access to leveraged and inverse funds would be an attack on my rights as a citizen of the United States. I will vote against any politician who steals my rights.
The leveraged and inverse funds in question are very important in my personal investing strategy while I am in retirement. I do not need regulators or the federal government to require my personal knowledge of situation.
Please maintain my access and use to these funds without change.
I am a tax paying, voting, citizen. Personal accountability is a fundamental freedom and requirement of the
Dont do this. Regulation has its place and is critical for truthful reporting and legitimacy of entities but this goes too far. It is not the place of government agencies to decide what the public can or cannot invest in. The United States financial system is not perfect but this is a solution to problem no one has asked to be fixed. Our capital markets offer tremendous opportunity to everyone
I object to this proposal. If I lived in Russia, or in some other communist or socialist country, I would expect this kind of government interference in my ability to make decisions about my investments. However, I am a citizen of the United States and I object to this unwarranted intrusion by the government attempting to restrict my investment decisions. What next? Is the government going to
Hello FINRA,
It is critical, in a constitutional republic for free, and available market funds be available for all people. Retail investors such as myself who understand the caveats with leveraged or inverse funds should not have to have any additional oversight or regulation.
For your consideration, please leave the current safe guards in place in order to not exclude any potential investor
I believe it is completely unreasonable to restrict my ability to invest in instruments that I deem appropriate for myself. Im an adult and this is the United States of America - I dont need to be coddled and protected as to what I want to invest in. Furthermore, these instruments are completely legal, the proposal is just to keep them for people who already have a lot of money, thereby widening
Enough of our rights have eroded enough. The United States is FREE nation where it's citizens make their own choices as to whether or not they will invest their money. It is not up to regulators or any other high-minded know-it-all to decide whether or not a person can invest in something. Investing has its risks, just as it has its rewards. It is not and NEVER should be up to some &
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
Exchange Act Sections 3(a)(10), (12), (29) and (42)
FINRA Rules 0150, 2010, 2241, 2242, 2320, 4370, 5240, 5250, 5270, 5280, 5310, 5320, 6420 and 6710
NASD Rules 1021, 1022, 1031, 1032 and 1050
SEA Regulation NMS
