I'm contacting you to oppose the potential additional regulation applied to certain "complex" investments.
First, what I choose to invest in, public or private securities or other instruments, is my sovereign choice. I educated myself on e.g. leveraged and inverse funds, and have an understanding in how they work and their risk/benefit equation as it applies to me.
Please STOP attempts to introduce regulation FINRA Regulatory Notice #22-08.
I consider it an insult to us the public, to propose this regulation under the pretense of "protection" like we are children, when in reality this is another subvert attempt to manipulate the market and make it even more exclusive.
I live in reservation territory, and it is hard enough for us to
Use of Inverse and Leveraged ETFs are great for investors to use when the markets are not functioning properly, perfect for late 2021 and now 2022. ETFs are common, simple, even teenagers understand how to use them.
Planning for retirement in a bear market is difficult in the best of times. When we hit a bear market, or a crashing market at the age of 60+, with inflation over 8%, certainly we
It has been a matter of great satisfaction over the years to see how the cost have decreased and the options have increased or individuals who personally invest. Much of this has arisen as a result of competition in the markets and individual investor interest.
It saddens me to learn that the FINRA is seriously considering regulations that would reverse this trend by limiting investors through
To The Financial Industry Regulatory Authority (FINRA), I want to continue having the ability to freely invest in a broad range of public securities designated as complex productsincluding the leveraged and inverse funds offered by ProShares. These "complex products" have enabled me to protect my retirement portfolio from severe financial losses. Perfect example: The current "
SummaryOver the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
SummaryThe purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
INFORMATIONAL
Anti-Money Laundering
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
On October 26, 2001, President Bush signed the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT
