I have been investing for a long time and understand my own risks. Investing in publicly traded funds should not be limited to the wealthy. As part of an overall portfolio I use leveraged fund to hedge investments and increase returns. I am not borrowing funds to do this and understand they may be extremely volatile at times. I can choose the portion of my portfolio I want to expose to this risk
I, not regulators or anyone else should be able to choose the public investments that are right for me and my family. It's my money and I and only I should decide what I can pursue with it. Public investments should be available to all of the public, not just the already rich or privileged. With every trade there is an inherent risk and this should be decided by me, not someone or some
Hi, I've many years experience in stock investment and I have large investment in stocks, Leveraged and inverse funds are important to my investment strategies. I understand it's risk and reward! I purchase SQQQ and SPXU as hedge to my tech investments and other stocks. I also seek enhanced returns by trading SQQQ and SPXU. However, leveraged and inverse funds are small portion of my
I am an educator and will be effected tremendously if I am blocked from using triple leveraged indexes. I am a voter and perfectly capable of understanding the implications and risks that these investment tools entail. The government should not have the power over my financial investment decision making. This tool is an easy and equitable way for those of us who are not Wall Street connected to
Public Investments are meant to be PUBIC ! Do not restrain or restrict or prohibit me from making my own free will investments in the public market. I use leveraged and inverse funds. Do not interfere with my legal right to do commerce. Anyone of legal age should have the legal right to trade any public equity product. Loosing and winning is part of investing AND LIFE ! Leave these free will
I am opposing to any additional restrictions on my rightsfor trading leverage and inverse fund. Any additional restrictions put in place will further taking away the balance and fairness of investment ability and tools that available to general public. Let traders and market goes it's natural course. Stop imposing further restrictions to choke the rights and options of average traders. Stop
Background
Consistent with the transparency goals of FINRA360, FINRA, for the first time in 2018, published a statistical overview of the broker-dealer industry based on the data it collects in the course of its work. This report, called the FINRA Industry Snapshot 2018 , was the first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA
Gene DeMaio is the Head of Regulatory Services Management in FINRA's Market Regulation and Transparency Services (MRTS) Department and is responsible for managing FINRA’s relationships with securities exchanges and other entities for which FINRA performs regulatory services. Prior to this role, Mr. DeMaio led the Options Regulation and Trading & Execution Examinations
INFORMATIONAL
Municipal Securities Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Transactions
Inter-dealer Transactions
MSRB Rules G-12 And G-14
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
