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
Summary
On November 8, 2021, FINRA will cease operation of the OTC Bulletin Board (OTCBB)—a FINRA-operated inter-dealer quotation system—and delete the OTCBB-related rules from the FINRA rulebook.
Questions regarding this Notice should be directed to:
Chris Stone, Vice President, Transparency Services (TS), at (202) 728-8457 or by email; and
Randy Rivera, Director, TS, at (212)
Summary
The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan Lawhead, Vice President and Director – Appellate Group,
Hello,
I am a retail investor and I have been investing / trading for last several years. I understand the risk / reward relationship associated with leveraged ETF like TQQQ or SQQQ. I have my strict buy/sell rules that govern my trade executions and I am very confident that I can manage my account and investment actions.
Investing in leveraged ETFs is a way that an individual can use to secure
Hello,
I am a retail investor and I have been investing / trading for last several years. I understand the risk / reward relationship associated with leveraged ETF like TQQQ or SQQQ. I have my strict buy/sell rules that govern my trade executions and I am very confident that I can manage my account and investment actions.
Investing in leveraged ETFs is a way that an individual can use to secure
March 24, 2008
Dear FINRA Member:
We are writing to highlight new and existing areas that are of particular significance to FINRA's examination program for 2008. We hope you find valuable insights into some of the most important topics regarding FINRA examinations, and that it helps you assess your firm's compliance and supervisory programs.
One change to the examination program that
Risk and reward go together in Free Enterprise. The responsibility to understand risk and then willingness to engage are an individual's prerogative. Those of us who are educated, responsible, and recognize the downside should be allowed to invest in leveraged funds. I am somewhat offended that people who don't understand the risk "cry foul" when they don
ALCON:
As a military veteran, it's very demoralizing to see an attempt to limit one's ability to prosper on their own and create independence from others. Requiring credentials to invest is absurd and completely unwarranted.
We as individual investors, should be able to choose the investments that are right for me and my family, not regulators.
Cryptocurrencies are a
I wish to state my strongest objection to what I perceive to be an overt attempt by power-hungry control freaks in the federal government relating to limiting access to investment opportunities in, among other vehicles, inverse and leveraged funds. This is nothing more than a solution in search of a problem, in my view, and is a dangerous step toward government control of the marketplace.
The
Dear whom it may concern,
We the people are sick and tired of over zealous politicians that really only care about their own corrupt financial dealings attempting to limit ours "for our protection". We will ask for "protection" if that's what we wish our lawmakers to actually do. People shouldn't have political figures attempting to block them
