I oppose restrictions to my right to invest in leveraged and inverse Exchange Traded Funds. There are already risk notification requirements for these investments. By their nature of being a fund, leveraged and inverse funds can be safer than using account margin or short selling. Leveraged and inverse vehicles allow me to participate in markets as I see fit. I do not want additional measures
Hello, I Andrew Hines believe I should be allowed to invest in any ETF, reverse fund, or any publicly traded company on my own free will. I believe anyone who puts their money in the market understands the risks involved including loss of funds. There is no such thing as a safe market especially during these times. The money I earned should be allowed to be used in whatever legal means I choose.
My name is YuMing To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
Dear Finra,
Leveraged funds are an important part of my investment strategy. Please do not make them difficult to access.
Yes, I understand and think most understand that the daily reset on leveraged funds means that an investor won't automatically earn the multiple of the index.
That said, they are tax efficient relative to futures for those of us who must invest in taxable brokerage
My name is ShiouChin To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
The Best Execution 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.
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.In the newly created role, Talib will be responsible for leading FINRA’s surveillance program, which serves a unique and critical role in fostering the integrity of the U.S. securities markets. As the markets have
Interpretations are marked in blue background beneath the rule text to which they relate.
