If you know how to invest in these larger funds and heavily traded indexes, you probably have learned enough to know the risks and rewards from doing such. There is already many mentions if you're getting into a riskier investment. The focus for FINRA should be maybe helping high school students learn about investments. Not helping people that already have a good knowledge of it be
Here are my opinion:
1) Hurts Investors: It could potentially deny me the freedom to choose investments that could
help me achieve long-term financial security.
2) Is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. Tests or criteria to determine investor understanding are
I strongly disagree with any restrictions on any investment options available to me. My investment evolutionary tract should not be reduced by you just because there are those who have invested poorly or may do so in the future. I do not need further protections from myself nor do I need you to put more obstacles in my way. I already have to consent to my knowledge of inverse investment options
Hello, As a person who has personally traded leveraged funds for years it would be detrimental to both myself and my family to be restricted from doing so. I do not feel that it is appropriate for you to restrict us from trading these funds. Leveraged funds are a key part of our investment strategy and we understand the risks associated with them. We feel that if we choose to invest our money
To whom it may concern:
You have zero business telling any adult citizen where and with whom they can invest their own earned, and taxed income... period!
You must know, we are fully aware of the manipulation you so-called regulators stick to retail investors. Never in my life have I witnessed the level of anger from 'the people' I'm seeing in this day, you financial
To whom it may concern:
This is a move not only to restrict freedom but more importantly to restrict socio economic mobility. This is nothing but a way to super impose a caste system on the country to make sure the rich stay rich and everyone stays poor. There are many other ways to make sure the products offered are safe for investors than banning investors from using them unless they are
It has taken nearly 100 years to earn the right to access tools to allow the middle class options to make financial gains kept exclusive by the US founding families. In 1999 came the chance to access markets as a self directed entity . We have been smart enough to gain wealth over the last 25 years using these tools . If FINRA now takes access away, it only means the traditional founding family
I deeply oppose restrictions on individuals' right to invest in popular public investments! I'm probably what is considered "middle-income", and a typical job holding American. Public securities such as leveraged and inverse funds can be a very an important part of a person's investment strategy, and I don't need restrictions imposed on me
I think retail is extremely desirous of seeing more frequent reporting and as much of that made publicly available as possible. At least of a weekly or bi-weekly basis. I believe the currently attempted short squeeze is bring to light that lack of transparency is being used to commit fraud and establish predatory roles against companies. The watering of stock has been an issue for nearly a
March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
