FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
As FINRA’s technical service provider, Nasdaq supports FINRA client electronic connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF).
In addition, data feeds produced as a result of transactions into these FINRA facilities are managed by Nasdaq. This
Regulators shouldn't be able to decide what I can and cannot invest in. I am capable of understanding the risks involved with inverse and leveraged funds without going through any special processes. Leveraged and inverse funds provide unique opportunities to grow my capital that other securities cannot provide like hedging and enhancing my portfolio. I'm just a college student
Hello FINRA,
These types of restrictions take away the opportunity for retail investors to engage in leveraged investing. It should be understood that by eliminating this you would take away the opportunity for investors to take on additional risk based on tolerance of the individual. Please consider that investments regulations should mitigate extreme risk. In these instances most investors
I work in the finance industry and we already endure severe restrictions in terms of how we can hedge downside risk. These include restrictions against short selling and options (have to hold a positions at least 30 days while the option loses value due to time decay).
Profunds short mutual funds are the only viable way to hedge long positions without being forced to liquidate those long
I am opposed to FINRA Regulatory notice # 22-08.
The decision for such investments should lie between a broker and an investor, akin to the relationship between a doctor and patient.
If additional investment risk information is needed, FINRA should promulgate it. I am and have been capable of understanding the investment risk with these investments for some time. I do not need the consequences
In America, the Constitution proclaims the c we have inalienable rights, the v right to life, liberty and the pursuit of happiness. More and more regulation limit these freedoms. We work hard for our money and the key word there is "our," Stop the control and strangulation of the American dream which men and women have fought and died for over the past 2 centuries.
'
Leverage ETF provides mechanism for individual investor like me who has access to limited capital but still can make significant more money.
Investor are very much aware of that these are riskier Bets so are options, equity market as well where NVDA, AMD, FB, NFLX, RIVN, SQ, SHOP, SOFI stocks can loose 50% to 80% value within a span of 12 months. It is up to individual investor's wisdom
Leveraged fund investment has allowed me to protect my current investment without selling of my current investment. Purchasing leveraged inverse funds hedges my current investment from severe losses without significant capital needs. They are simple and easy to purchase. Limiting access would increase the cost of Government, and allow for only the big players to take advantage of the
Sec. 11.2 The stockholder shall be entitled to a certificate or certificates in such form as shall be approved by the Board, certifying the number of shares of capital stock in FINRA Regulation owned by the stockholder.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
