Regulators should not be telling my what I can & cannot invest in.
I am a long term private investor in 401.3, SEP and general investing. I do not need to have my skills questioned. My history of investing has been positive almost always.
Leveraged and inverse funds investing in are my decisions to make without regulators telling me otherwise.
Truly, the less legislators try to micromanage my private investments and trades the better. Really it is a bit galling and insulting to constitutes that you assume we don't have the knowledge to write covered calls, or puts if needed to protect our investments. Please stop trying to help where it is not needed. Go work on cutting corporate welfare it needs reform.
As of May 12, 2025ATS NameATS IDFirm NameCommentABE ATSABEX303 ALTERNATIVES LLC AlphaX US ALPXTSX Alpha U.S., Inc. AMERICAN LEDGER ATSCSTNAMERICAN LEDGER ATSCeased on July 31, 2021APOGEEAPOGCITADEL SECURITIES LLCCeased on April 2, 2015AQUAAQUAAQUA SECURITIES L.P.Ceased on September 16, 2022AX TRADING, LLCAXTNAX TRADING, LLCCeased on April 30, 2021BARCLAYS
I appreciate the independence to select appropriate investments for myself and my family. I have been a successful investor in these funds for a decade. Like everything in life, I imagine I could have faired better with some special, expensive training, but my returns from these investments alone will provide a year of private college for each of my two kids. Please let people make their own
I am a private investor who has used leveraged and inverse funds for over 8 years to augment a portion of my investment portfolio. There are higher risks investing in these funds that I am fully aware of and capable of managing. Individual investors should have the right to invest in whatever instrument their risk tolerance is matched to, with strategies that they develop to minimize those risks
Stop being big brother. I am happy to take a test demonstrating my knowledge of the product and risks I am exposing myself to. We have no access to private equity and other investment vehicles that have performed in the past. Why cant you give us access to the same opportunities wealthier people have? Stop denying opportunities to make and lose money!
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The Communications with the Public topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The interfering in the right of private individuals to choose personal investment strategies is absolutely insane and communistic in principal. There is no way individuals should need a body of extraordinary unrelated persons to over manage how a person or family applies it's funds. I earned the money by my education and by hard work and I take the risk and the profits. It is no one else
Leveraged and inverse funds are important to protecting my portfolio of investments in my self-directed IRA accounts. These rights are no different than the right to invest in bank CD's or various bond investments, stocks, or options. Regulators need not impose restrictions on private investors making decisions on public investments. This is infringing on idividual rights to buy, sell
