Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
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I am a suburban daughter who watched and felt helpless in stopping siblings from financially exploiting my parents. I had POA and was their health care agent. I warned their out of state financial advisor that my parents were targets of financial exploitation. Less than three months later, the advisor facilitated over 300K being diverted from my mother as an inherited IRA due to my fathers
Retail investors deserve to make their own financial decisions and and the opportunity to profit from their investments. Eliminating leveraged and inverse ETFs would remove financial tools from ordinary Americans while allowing large corporations and investors to continue to profit. It's unfair to normal people.
I have been in leveraged ETF's for about 6 years. The criteria that Fidelity has in place is more then adequate to assure that the ETF investors can deal with the volatility based on their financial status. The market today is quite down but I'm not hurting because my basic financial situation is sound,
As a retail investor, I do meticulous research on the financial health of companies I invest in, and do quite a bit of work to justify adopting a particular strategy or level of financial risk. Closing off inflows of retail investment dollars damages me, and my investments, regardless of the intent of the rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the trade reporting fees and caps applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago.
Investors need financial freedom to invest in inverse and leveraged ETFs. FINRA needs to respect the publics freedom of risk appetite and not subject the members of the public who are experienced and educated individuals to extensive regulation that can harm our long run returns and financial well being
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)).
Stop trying to restrict my right to invest in whatever investment I feel is right for me as an American citizen . I am an adult and do not need the governments to make financial decisions about what I can and cannot invest in. Stay out of my financial affairs as they are not your responsibility to manage.
Summary
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice
