Hello. While crafting this new regulatory notice, Im sure the appropriate folks thought they were doing the correct thing. I am not so sure. By limiting what I can and cant buy, this new rule would potentially limit my ability to achieve my long term financial goals. The definition of "complex products" is not well defined. I have spent the time to educate myself and should be able to
Free markets only work if regulation / government intervention does not impede them. Any reason for limiting investor access to any investment vehicle (after providing warning of complexity for novice investors) is likely anti-free market, and definitely government overreach. By allowing certain investors to invest in these funds, and not others, if obviously fraught with issues. The logic
This looks like just another step towards total control of free enterprise and free thought in our country. I've been a serious and prudent investor in financial instruments for over 30 years. I understand and fully accept the risks involved with conservative, risky, and off-label investments (including leveraged and inverse securities). Since the markets (including Stocks and so-
To the FINRA board, I strongly believe that I should have the right to choose in what I get to invest in. Publicly traded companies should not be regulated or restricted to the American public. It's not fair that giant corporations or the supremely wealthy have more flexibility and power to play this game, where the common American has to try and get by in this world and one way to do
I believe it is crucial that investment choices remain the prerogative of each individual investor and not relegated the privileged powerful who lobby government to restrict investment opportunities to that which only they control.
Just explain the risks involved and allow us adults to make our own allocations based on what is appropriate for our financial situations.
I regard the availability to
The Financial Industry Regulatory Authority (FINRA) is thinking of regulating a broad range of public securities they deem "complex". This scheme is MISGUIDED and could deny me the freedom to achieve long-term security. The scheme is arbitrary and unworkable and would allow
"BIG BROTHER" to say what the public can or cannot purchase in the public securities
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 13, 1989, the following six issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,838
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of March 13, 1989, the following six issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,859
To whom it may concern,
I am a lifelong investor that has been using leveraged ETF's for the past decade. I buy them on a monthly basis as part of a calculated strategy, including hedging. Without them, I would be unable to continue outperforming the market to the degree that I have the past 15 years. I am fully aware of the risks involved. Banning my ability to procure leveraged ETF
I am against added restrictions to my ability to buy and sell complex products and options. As an adult, I am capable of understanding the risks involved and can judge for myself my desire for these types of products. It has never been easier to gather your own research as a retail investor than it is now, and I condemn further regulations that only attempt to fence off my ability to invest.
The
