Dear FINRA regulators,
We believe it is an investors right to freely access the entirety of the public securities markets without any arbitrary restrictions. Any restrictions could potentially deny us the freedom to choose investments that could help us achieve long-term financial security.
FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast
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(a) Each member organization, shall promptly give to the Exchange notice in writing on such form as may be required by the Exchange (1) on Form U-5, of the death, retirement, or other termination of any party required to be approved under the Rules of the Exchange, (2) of the dissolution of the member organization.
(b) In addition, in the case of a member corporation, such member corporation
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) Each member organization, shall promptly give to the Exchange notice in writing on such form as may be required by the Exchange (1) on Form U-5, of the death, retirement, or other termination of any party required to be
*I should be able to choose the public investments that are right for me and my family.
*I shouldn't have to go through any special process like passing a test before I invest in leveraged funds.
*I am capable of understanding leveraged funds and their risks. The risks in today's market are higher than in past years; however, I willing to take those risks as the leveraged funds
Why only block leveraged products? I say block the whole stock market for people with less than a million dollars in liquidity. Please create more and tougher hurdles for pleabian class people like us so it becomes even tougher for regular folks like us to climb the financial ladder.
That was sarcasm in case it wasn't obvious to you braindead politicians/regulators.
Now for something
I oppose restrictions on my right to invest in public investments such as leveraged and inverse funds.
I, not regulators, should be able to choose the public investments that are right for me. Public investments should be available everyone, not just the privileged, or those regulators deem suitable enough.
I do not agree that I should have to go through any special process or pass a test before
Hello. I firmly oppose this FINRA Regulatory Notice. I am the one who should have agency in my financial decisions and it is not up to regulators to only let a certain subset of the population have access. Considering the fact that wealth is a factor, this is showing preferencial treatment for the wealthy and is completely unacceptable. In addition, I should not need to prove to regulators that I
The stock markets built its foundation on that everyone can participate if they have the funds and will to do so, it is experience that makes the difference for every investors and their decisions. Leveraged and inverse ETFs have an essential role in the stock market and in financial investment strategies that are necessary in order to protect my portfolio or hedge some of my investments.
