As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
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.
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
Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
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.
Greetings,
I run a systematic quarterly rebalancing plan that is powered by leveraged ETFs. I know what I am doing, understand the risks (and benefits), and as such, the proper use of these leveraged products is a key part of my financial plan.
These funds are important to my plan; they improve my performance over the long haul. I am not engaged in reckless trading. I understand the effect of
It's especially important regulators hear from you in your own words. Please use the body of this email to customize your response. Once I figure out how to get the money that it's invested I can plan to put the money where it belongs I'm planning on prospering the world not just myself God bless you
FINRA invites member firms that participate, or plan to participate, in the security-based swap (SBS) market to provide views and information with regard to broker-dealer SBS activities, including the application of FINRA rules to those activities. Any other interested party is also invited to submit views and information. FINRA welcomes views and information on all aspects of SBS activity,
