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Executive Summary
Members are reminded that commission charges to customers in agency transactions are fully subject to all provisions of Article III, Section 4 of the NASD Rules of Fair Practice. As such, the NASD 5% Policy applies as equally to commissions on agency trades as it does to markups or
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST!!!
Individual investors should have access to all public investment vehicles without regulators dictating which are appropriate/inappropriate. Rather, regulations should focus on transparency and full disclosure of the strategies employed by fund managers and most of these regulations already exist. Rather than rely on regulatory intervention,
To whom it may concern, FINRA's current effort to seek restrictions around "Complex Products" appears to fall into the category of "fixing something that isn't broken." This is something the government often appears to excel in and in this instance reads as a rather arbitrary and capricious effort to restrict access to investment choices. As a rule, I vehemently
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
Dear FINRA, First of all, I am the owner of my own money. The regulators have no right AT ALL to make me go through certain process to make my own investment decisions. Leveraged and inverse funds are important to my investment strategies. I put part of my investment fund in TQQQ and UPRO on a regular basis as a long-term bet for the positive outlook of US economy. People would argue that TQQQ or
Leveraged and inverse funds, like all nearly all investments, are risky. Adequate disclosure of risks should be sufficient for individual investor protection. If regulators do not believe that investors understand the risks from the prospectus, then what does this say about efforts to protect investors in domains beyond these funds? Moreover, what risks are unique to these funds that regulators
Please don't limit retail usage of Leveraged and Inverse ETFs. They're actually easier to use than options/derivatives, and are incredibly useful tools for any active trader. You should not be limiting the average American's ability to build wealth in any way, as long as it doesn't cause harm to anyone else. Both of the brokerages I use have warnings for
Ah yes, quite a brilliant regulatory notice. Only us ~~~~sophisticated~~~~~~~~ investors are worthy enough to trade such complex financial instruments. The peasantry are wholly incapable of understanding the Bitz-Coins on our academic level. The only issue with this proposal is that it does not go far enough to """""protect"""
CommenPlease don't limit retail usage of Leveraged and Inverse ETFs. They're actually easier to use than options/derivatives, and are incredibly useful tools for any active trader. You should not be limiting the average American's ability to build wealth in any way, as long as it doesn't cause harm to anyone else. Both of the brokerages I use have warnings for Leveraged and
Any test of specialized knowledge should be dependent on the specific investments being considered. The degree of investor awareness required to invest in a leveraged S&P 500 2X fund is suitable for many investors who are aware basically of the risks and have been informed of the proportion of net worth they could / should invest.
Brokers should be held legally liable for INITIATING
