I strongly opposed restrictions on my right to invest in cryptocurrency funds. I understand the concern you may have in protecting people from themselves however you are impeding a fundamental right for individuals which is the right to financial self-determination. To impose restrictions is paternalistic and does not respect the ethical right for individuals to make choices about where and how
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 products”—including the leveraged and inverse funds offered by ProShares. These "complex products" have enabled me to protect my retirement portfolio from severe material losses. I agree an investor needs to
It is not the place of any government agency to tell me what I can invest in. This is a major overreach into my financial freedom. I fully understand the products that I invest in & do not need to prove my knowledge. Leveraged & inverse funds are extremely important to my investment objectives. These funds allow me to use less of my capital. This is important for the rest of my
I strongly oppose any rule that limits my (or others') ability to implement investment strategy, which at times includes the use of options and leveraged/inverse exchange-traded products. I believe such a rule would cause me personal financial harm. Although I have decades of experience with such products, I oppose any rule for which I must pass tests or meet any arbitrary net worth standard
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.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
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FINRA should evaluate how its policy and requirements for becoming a broker/dealer may be financially and/cost prohibitive. Access to financial resources may be a barrier to entry for many in targeted demographics for greater inclusion. Additionally, perhaps there are incentives that might aid more tradition broker/dealers in the recruitment, mentoring, and career support for diverse candidates.
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Executive Summary
On August 25, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rules
Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
