I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST!
I not regulators should be able to choose
the public investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities. I am capable of
I oppose new rule making that would make leveraged and inverse ETFs difficult or impossible for normal investors to buy. I have used these sorts of ETFs in the past profitably for both hedging risks and investment purposes. I believe these products are both understandable and useful to the average investor.
Given the recent blow-up of so-called qualified investors and family offices like Bill
Release DateSystemAreaDescriptionApril 25, 2025FINRA GatewayIndividual ProfilesStatutory Disqualification (SD) status is not displayed for some Individuals. With this fix, the SD status will be displayed for all applicable Individuals.April 13, 2025FINRA Gateway and CRDAllNYSE Chicago, Inc. (NYSE-CHI) Renamed NYSE Texas, Inc. (NYSE-TEX) in FINRA’s Registration Systems. For more information about
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Do not pass more regulations. I am perfectly capable of understanding risk products including leveraged funds. I do not need FINRA Nanny State regulations nor do you have any constitutional authority to regulate the private individuals investing in the markets. The constitution guarantees my personal LIBERTY, which means my personal property is off bounds to FINRA. Back off or there will be
Government regulators must not impose arbitrary restrictions on private investors.
Many capital investments carry risk. Leveraged and inverse funds are central to my investment strategies, and I do not need -- nor will I appreciate -- interference with my basic right to purchase, hold, and trade them.
There is no legally-coherent or ethically-defensible rationale for adding additional
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Direct Participation Programs Limited Principal (Series 39)
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Equity Trader Limited Representative (Series 55)
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As a small private investor, I am well aware of risks associated with the various vehicles available on the markets, including inverse funds and leveraged funds. While not core, these are tools that sometimes make sense, and they should not be placed behind barriers that inhibit or even prohibit my access to them. I do not require and do not welcome regulations that block my ability to implement
To Whom it is concerned.
I oppose any further restrictions on leveraged, inverse, volatility, foreign market, or other non-traditional investment ETF, mutual fund or similar investment vehicles. As a private investor, I have the ability to read the currently required prospectuses and investment disclosures for public investments. I do not need hand holding or further government intervention or
FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
