Hi, I am writing to ask you to NOT limit my ability to freely invest in any type of public securities. I'm an individual investor and I've been investing and trading securities of all kinds for the past 10 years. Im an active learner and constantly educate myself about opportunities and associated risks. I have paid-subscriptions to several investment advisors. I make informed decisions
Thank you for the opportunity to comment.
I am an informed investor. I have a plan in place to be able to maximize retirement moneys. I have used a leveraged fund for several years (TQQQ).
The nature of TQQQ is volatile. I clearly understand the volatile nature. I depend on the volatile nature of this fund as if gives best opportunity for growth.
I oppose the proposed regulation. In this
Regarding L&I funds and potentially restricting access to them... I would oppose any such move.
Firstly, my current brokers (TDAmeritrade, E*Trade Financial, and Charles Schwab & Co, Inc) all provide me with ample educational materials online at no charge which informs me of the risks and limitations involved in trading L&I products, namely, they are intended
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
I partially trade with a US broker in order to have more access and freedom in my choice of investment vehicles. Making 'complex' funds only freely accessible to the elite and exorbitantly rich (like in the EU), whilst creating more and more hoops for regular people, will only limit opportunities for regular smaller investors. I should have the freedom to do with my own money as I wish
Dear Sirs, I have been trading leveraged etfs for many years. Before that I had traded futures which I found to be very dangerous, much more so than etf. I did not really own the futures because they had an expiration date and because the leveredge was so high that they were subject to being automatically liquidated by the broker with a margin call. With etfs a least you own the shares , there is
Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023.
The purpose of this
The Anti-Money Laundering (AML) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
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