Background
Advanced data analytics is a critical function within FINRA and an important component of our efforts to be a risk-based and data-driven organization.7 This work, which supports our examination, surveillance and enforcement functions among others, is conducted in a number of areas throughout FINRA, but primarily within Market Regulation Surveillance, Research, Methodology, and
Dear Sirs & Madams--
I oppose being restricted in investing in leveraged investments. I have been doing so for many years now as a supplement to my primary retirement "buy and hold" investment strategy. I am range-trading a small percentage of my overall portfolio using leveraged funds.
Frankly, I'm not sure why FINRA is getting involved with this. I
Please do not reduce the investing freedom of individual investors. We should be free to make our own investing decisions, whether they are wise or not - that is our decision to make. This would further stack the deck against individuals, when institutional investing firms already have myriad tools and freedoms that are not given to average people. Furthermore, these firms have shown no better
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
On August 9, 2005, the Securities and Exchange Commission (SEC) approved new Rule 2111, Trading Ahead of Customer Market Orders, which
I would oppose FINRA regulatory notice #22-08. Regulators should not be able to choose which public investments that me or my family can make.
I should not have to pass a test to invest in public securities.
Brokers should not be required to screen me before I can invest in public securities.
Leveraged and inverse funds allow me to better hedge my portfolio.
FINRA Regulatory Notice #22-08 should
I strongly oppose any regulator dictating where and how I can invest my personal money. Investments are an at risk activity and the potential for losses are not limited to leveraged and inverse ETFs. I am confident that I know my risk tolerance better than a federal regulator. If the investment is one I am comfortable investing in I am entitled to the freedom to invest my money, independent of
It is the right of everyone to have the equal opportunities in every aspect of life. The right to invest in products such as these should not be limited to a general definition of qualified. I did better for my personal finances than my employer matched IRA (managed by Raymond James since post Covid crash 2020) even though I began my investing journey in 2021. Removing the ability to invest takes
Please stop treating investor's like children in kindergarten that need to be protected from themselves -- like a typical Government agency, you think you know better. Stay out of my way - I'm entitled to life, liberty and the pursuit of happiness - that means I can invest where I choose to, hopefully, obtain certain results. All stocks have risks and I understand what those
Dear regulators, I do not think it is appropriate to further regulate investors in this regard. I am not a professional investor according to most definitions, but still I have been able to use several leveraged funds *more* effectively than I have individual securities. The regulatory restrictions that apply to me actually tend to result in *worse* decisions on my part, not better. I do not
I oppose restrictions on my right to invest in public investments.
I should be able to choose the public investments that right for me. Public investment should be available to everybody, not just the privileged.
I'm capable to select what is better for me them you, since you don't have a clue what my needs are.
Please, do not change what is working. Every time you regulators,
