I was very disappointed to learn that FINRA is considering limiting my ability as an investor to invest in leveraged and inverse funds.
This is a choice I should make as an investor, not regulators.
Public investments should be available to all investors, not just the privileged.
When making investments I understand the risks and evaluate options before making a choice. I do not need to go
* Hurts Investors: It could potentially deny my the freedom to choose investments that could help me achieve long-term financial security. Upends Our Regulatory System: Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. * Investment always involves risk. It is investor's responsibility to control the
To whom it may concern:
People nowadays have internet resources that are comparable to those of the Wall Street investors. I, for example, uses excel to calculate risk and rewards based on data collected from various brokerages/yahoo finance/bloomberg/LPLfinance...etc. A test imposed by regulators may have nothing to do with my excel calculations and probably remotely relevant to the success of
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities, including cryptocurrency funds such as BITO. Explain that you are capable of
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST I should not have to go through any special process like passing a test before I can invest in public securities, including cryptocurrency funds such as BITO. I am capable of understanding cryptocurrency funds such as BITO and their risks. I do not need these measures imposed on me. I " not regulators" should be able to choose the public
I, not regulators, should be able to choose the public investments that are right for me. 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, like leveraged and inverse funds. Leveraged and inverse funds are important investment strategies for
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
In general, a member firm’s office or location is either registered as a branch office, if it meets the definitions contained in Rule 3110(f), or exempt from branch office registration (i.e., an unregistered office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential supervisory
