Leveraged and inverse funds are important to my investment strategy. I utilize these funds to protect my investments. Additionally, public investments should be available to all of the public, not just the privileged.
Consider that most actively managed mutual funds available to millions of Americans through their company 401k/403b plans underperform the market. Yet there are no special
Delegation of Functions and Authority:
A. Subject to Section I.B.9., FINRA hereby delegates to FINRA CAT and FINRA CAT assumes the following responsibilities and functions as a registered securities association:
1. To act as a Plan Processor in accordance with Rule 613 of SEC Regulation NMS and the provisions of the CAT NMS Plan.
2. To create, operate and maintain the consolidated audit trail
During the span of employment, it’s not uncommon for two situations to arise with respect to retirement savings: the potential need to borrow from your retirement account, and a change in employer that raises the question of whether to roll your assets into a new plan or an IRA.
Loans
If you need cash, you might be tempted to borrow from your employer-sponsored plan rather than applying to a
The Liquidity Risk Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
I've been trading leveraged and inverse funds for a couple years now and they are critically important for my trading plan. I realize the risks and fully own them, but they are absolutely necessary for my future plans. I believe as a free American citizen it should be by right to make such financial decisions for myself and not regulators.
Please dont limit the fund options available to workers who lack a defined benefit retirement plan to self-fund our retirement through inverse or leveraged investments held in defined contribution retirement plans. I oppose potential regulation of complex investment held in tax-deferred qualified retirement accounts. Thank you.
I have been investing in leveraged funds for many years and have been doing just fine. I should not have to go through any extra steps than I all-ready do when I research what I'm investing in and how I plan my portfolio. Regulating these funds would be detrimental to the future of my retirement plan.
I object strongly to this plan to limit my freedom to invest how I choose. I have many years of experience in options and leveraged ETF trading and make my living doing so. Leveraged funds are very important to me and my trading strategy. I am completely against this potential plan and request it be terminated from consideration.
SEC Reporting Requirement
In July of this year, the National Association of Securities Dealers, Inc. (NASD®) issued Special Notice to Members 98-63alerting members to a new reporting requirement imposed by an amendment to Securities and Exchange Commission (SEC) Rule 17a-5. The SEC rule amendment requires broker/dealers to file two Year 2000 reports using the new BD-Y2K Form. The first report
