Merger of FINRA Dispute Resolution
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
By-Laws of FINRA Dispute Resolution, Inc.
By-Laws of FINRA Regulation, Inc.
Plan of Allocation and Delegation of Functions by NASD to Subsidiaries
Suggested Routing
Dear FINRA, Thank you in advance for hearing me out. I oppose regulation that would require testing, verification of net worth, broker approvals, paused trading periods, and other burdens that would inhibit my ability to control my investments and financial future. Hedge funds and inverse funds are an important part of my portfolio and allow me to protect my retirement portfolio. Additional
I am a very average investor and have been using leveraged and inverse ETFs to enhance returns for over a decade.
I don't want to have to go through training or pass a test in order to trade these funds and find it insulting that FINRA thinks so little of the general public that we're incapable of understanding the benefits and risks of leveraged and inverse ETFs.
Without
There are so many things wrong with this proposal:
-it discriminates against people based on income
-it's elitist
-it incorrectly assumes more financial education leads to better outcomes. Which is why the vast majority of investment firms under perform the market.
-unless this is announced to happen years ahead of time, it will cause people in these funds to be blind sided by the
This is a disgusting overreach by the government.
Retail investors and retail traders should be allowed to invest and trade in whichever financial products that are available to them. We sign numerous disclosures and acknowledge numerous warnings that are standard and provided by our brokerage platforms. We have the capacity to engage in this and should be allowed to take risks as we see fit, and
High risk/high return investment products should not be privileged to only the very wealthy. Index funds as such give smaller investors access to a wider array of investment tools. Trading the product requires buyers to fill out some extra paperwork demonstrating their understanding of the risk. Limiting the risk that smaller investors take on but not that of high net worth individuals seems anti
REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 21, 1986, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,602. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
You have no right to take away inverse etfs..It is the investors responsibility to learn how to make their financial decisions. Hmm.. seems to be ok for the government to always make the regulations to benefit them and not the individual. These etfs provide an investor utilize trades in both directions.Are you going to start regulating buying cars and houses too? Hmmm many people get screwed
Dear FINRA Regulators,
I would like to oppose the restrictions on certain investments deemed as "Complex". As part of my investment strategy I would like to continue to invest in public securities such as leveraged and inverse funds without going through any special process. These investments are important for my future financial goals.
I use systematic investment strategies to
