I understand the risks associated with investing after more than forty years of managing my own investments. Having inverse and leveraged options is an important element of my investment strategy, especially after 1987, 2001, 2007, and 2020. Is there more to this diabolical plan to restrict my options? Please bear in mind you are elected officials.
You greedy [REDACTED] know that you're responsible for the state of the economy and now that it is crumbling according to your plan you want to keep the tools to profit to yourself. Your time is coming to an end, the next occupy wall street will be immensely more popular. It doesn't matter what you do here, the people are coming for you regardless. [REDACTED].
(a) Pursuant to Section II of the Plan of Allocation and Delegation of Functions by FINRA to FINRA Regulation, Inc. ("Delegation Plan"), the Board shall appoint a National Arbitration and Mediation Committee ("NAMC").
(1) The NAMC shall consist of no fewer than ten and no more than 25 members. At least 50 percent of the NAMC shall be Non-Industry members.
(2) The
The Observations on Liquidity and Credit Risk Management section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Liquidity Risk Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Liquidity section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
(a) Interested FINRA Staff
Except as counsel or a witness in a proceeding or as provided in the Rule 9550 Series, Interested FINRA Staff is prohibited from advising an Adjudicator regarding a decision or otherwise participating in a decision of an Adjudicator. An Adjudicator is prohibited from advising Interested FINRA Staff regarding a decision or otherwise participating in a decision
I an very opposed to any regulatory limits on my current abilities to participate in complex ETFs and investments.
I have been involved with these investments for many years and am familiar with their risks and do not need any extra regulations to guide me. Placing these limits will significantly impact my retirement planning and financial future.
Please desist from imposing them.
Leveraged ETFs have become a very important part of my portfolio and retirement plan. They provide cheap, accessible leverage for normal investors like me, and without them I would be unable to utilize leverage in my situation. I fully understand the risks and use them as part of a larger, unleveraged, diversified portfolio, and Im sure many others do the same.
As an individual investor, I find leveraged funds essential to my long-term financial plans. While I understand that such funds can be harmful to those who do not have discipline or training to use them well, many other individual investors like me use them profitably. Please do not curtail our freedom to use leveraged or inverse funds.
