Restricting individual right to invest in funds or any legal investment is not in the best interest of American citizens. Requiring a test of some sort or sign off on the risk involved would be a better option to address these concerns.
The proposed regulations to protect investors from high risk investment options are not in my best interest. Better to have investor warnings when purchasing them but not specific requirements based on knowledge or net worth.
We have always had the ability to trade stocks and funds that we have determined to trade. We understand the risks and if people don't then they just need to take responsibility for our trading or not trade at all.
I oppose restrictions to my right to invest. Public investments should be available to all the public-not just the wealthy. I believe that investors of this area are able to understand leveraged and inverse funds and their risks without taking a test.
I am quite capable of making my own decisions thank you very much. If I want to invest MY money in staid and safe vehicles I will, if I want to take a bit more risk, that is MY choice.
Please do not limit the publics ability to invest in Pro Shares reverse index funds. This is a right of every person to decide on their own investment principles in action when weighing their risk. Thank You Ed Miller
The Net Capital topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
The Series 24 exam — the General Securities Principal Qualification Exam (GP) — assesses the competency of an entry-level principal to perform their job as a principal dependent on their corequisite registrations.
Part of a FREE market is that everyone can invest in what they choose to at their own risk. Taking that away from average people means funneling more money to the top 1%. It is a disgusting elitist policy that is corrupt to its core.
I've used leveraged funds for a number of years and am aware of the risk involved. I'd prefer you not add any measures to impede my ability to access these types of investments. I am comfortable with the status quo.
