Investing on any asset class should be a personal decision. Those investors that do our due diligence to educate ourselves before investing and that may not be considered 'high net worth' should be able to have the same opportunities than 'high net worth' companies and individuals. I understand the risks and time decay of leverage investments and do not need to
I am a small investor who needs the opportunity to prevent losses due to changes in the stock market. Taking away ability to protect my assets will severely impact my ablity to support myself and my family. Public investments, such as the ones FINRA is proposing to impose special requirements on, should be available to all Americans and not for just the privileged. The proposed changes to #S7-24-
The landscape of types of investment products is quite broad, and extends well beyond stocks, bonds and mutual funds, which are familiar to many investors. We’ll give you an overview of major investment categories—those that have been around for decades and some that are emerging.
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I understand the intention of three day trades per week was to reduce the risk and losses incurred. Over the years, it seems to have actually exposed traders to more risk. Allowing no more than three round trip trades in five business days has created a burden on traders as well as brokerage firms. Traders who wish to trade in small amounts to build capital typically do not have access to the
Me not regulators should be able to choose the public investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
I have the sophistication to invest in this project and should be allowed to do so.
This is egregious that I should even have to comment on this and a hinderance on free markets and capitalism.
I'm a small investor and make about 40% to 50% of my capital gains using leveraged investments. I don't want that taken away from me and I don't need testing to see if I have the knowledge and ability to invest this way. I like being able to invest my way for me and family.
My personal investment strategy incorporates leveraged ETFs to better and more effectively hedge and grow capital in my personal accounts. These products are more cost effective and liquid than using otc & listed options or other margin-like products and facilities. Do not ban or limit their use by individual investors!
Dear FINRA, Please oppose restrictions to my right to invest in products which will protect my capital. The freedom to invest is paramount for investors to be treated equally and fairly in all products. The adoption of unfair rules will harm American stock market investors. Please stop this illegal adoption of new rules.
FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
