Dear FINRA Regulatory panel,
Herewith I want to let you know I Veto any restrictions in regards to trading any kind of assets in the public domain with any company offering inverse funds, high yield bond funds or any other offered funds of any kind.
I am well aware in regards to fund or stock trading for more then 20 years.
I belief it should be to the choice of an individual how, when, what to
Dear Sir or Madam,
I am writing to you because I received a notice that I will be restricted to buy leveraged fund. I do not quite understand this decision because I am clear about what I am doing and understand the risk behind it.
Public investment should be available for everyone as long as they follow the rules and do not violate any regulations. I believe I have the rights to buy any
I--not you or other regulatory authorities--should be able to choose the investments suitable to me. Attempts to regulate and limit access to leveraged and inverse funds only harm equal opportunity and equality and do not level the playing field for investors. Requiring investors to meet certain requirements before accessing these products is a violation of liberty and the American way of life.
Dear FINRA Regulators,
I wish to weigh in on the deliberations regarding leveraged ETFs and complex products. As a retail investor who is managing my own portfolio, these products provide significant flexibility and opportunity to appropriately manage both reward risk related to market volatility. Additionally, when constructing a portfolio or adjusting it based on economic assumptions and
I see no reason to regulate what a person decides to do with their money. The government doesn't appear to have any restrictions on it's ability to manipulate the market on a daily basis as it does. The craps table isn't restricted or any other game in the betting business. Margin is allowed, shorting is allowed, and I'm sure there are other things big money is allowed to do.
The Variable Annuities 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 simply want an open, free market for trade and investment. It is not, and entities such as the SEC and FINRA allow it to be in the favor of hedgefunds and investment firms with large amounts of capital. Everyone should have to trade the same way, on the open market, under the same terms. Same time for the act of sale to transact. Shorting companies shoud be heavily regulated and absolutely have
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
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I am a retail and self-directed investor mainly trading and investing in US listed leverage & inverse ETFs and associated exchange traded options. I am also a finance professional with work experiences in investment advisory on vanilla and structured products, including equities, fixed income, interest rates and currencies, in overseas jurisdictions outside of the US, and hold MBA and CFA
