I do not agree on restricting independent investors to invest in protective investment categories such as inverse ETF's and other inverse traded funds to allow the benefits of securing my capital during down markets.
I understand the risk of leveraged ETF/products and use them carefully. They help me get bigger returns with less capital. I should be able to choose what I invest in without having to pass tests.
I am opposed to FINRA interfering with my right to invest in funds such as BITO. I am opposed having to get special approval from my broker to invest in any security they are licensed to trade, I am opposed to having to attest to having read an materials. I am opposed to being required to go through and cooling off period, l am opposed to being required to taking a test imposed by a regulated of
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.
The Liquidity Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I oppose restrictions
on my right to invest in public investments. This should be a free market of buyers and sellers who freely choose how to invest capital. Please do not impose any more regulations.
Why is this even a consideration in the United States. We are a free country built off capitalism. Everyone has the right to do as they want with their money without government interference and monitoring. This is again an abuse of power.
(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a
(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a
(a) Requirements for Public Offerings(1) General (A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.(B) Any member acting as
