FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
I run a systematic investment plan where leveraged ETFs are the key component. These funds are extremely important to my investment plan and have provided me with improved performance over the long term compared to standard market measures. I fully understand the leveraged effect the funds and use it in a responsible manner to my advantage. I do not want or need a third party evaluating my
I would like to propose a fixed T+0 or T+1 settlement date for all shares. FTD's (Failure to deliver) are rampant in the current market structure and allows for adverse effects on price discovery. Enforce a T+0 or T+1 settlement for FTD's and this would saveguard price discovery and mop up shorting fraud without risking liquidity issues.
The Net Capital section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I want to write in and let whoever is considering this rule change to know that as a retail investor I am fully aware of the risks that I take by investing in securities.
I believe it would out an undue burden on the citizens of the US if there were more obstacles put in their way in order for them to have access to securities. Participating in the growth of the some of the best companies that
Dear Financial Representative, I do NOT want trading on the TQQQs and other leveraged funds to be regulated. I believe investors should have the right to trade public investments without restrictions. I am an experienced and frequent trader who uses this avenue exclusively to build weath within a portion of my overall portfolio. The volatility inherent in leveraged funds is the key to success in
FINRA,
Its incumbent upon any investor who so chooses to invest in public securities, to first conduct their own due diligence by researching and becoming informed concerning the potential gains/losses that may be incurred. Therefore I do not feel it is necessary for additional regulations that would curtail, impede or prevent the publics access to their investing pursuits. Understanding the
Dear Sirs: I am writing to express my opinion that existing investor access to leveraged ETFs should be maintained. These investments are straightforward (leverage 1X, 2X, 3X, etc.) and every investor must understand that risk is inherent with these investments. As with any other investment. I consider leveraged ETFs to be much less risky than US traded Chinese stocks. The Chinese Variable
It is very important that I as an investor have the right to freely access the entirety of the public securities markets without arbitrary restrictions. It is my freedom to choose the investments that I believe will achieve long-term financial security. The definition of "complex products" is broad and vague. I am capable of understanding leverages and inverse funds and their
I came from a communist country, which limited all my freedom in every sense. I chose to come to the United States due to the fact that citizens have the right to different types of freedom, including investment freedom. I want to maintain the freedom to buy and/or sell, choose an occupation, compete, and make a profit. Therefore, I want to continue freely investing in public securities of my
