I should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. As a self-taught investor, leveraged and inverse funds have become an important part of my investment strategy. They are the easiest way for ordinary Americans like myself to either take defensive investment strategies as a
To FINRA: The last thing we need in America is another NGO telling me I can or can't do what anyone outside the U.S. can do - purchase shares of companies or funds that meet my investment strategy. Yes, there is enhanced risk with leveraged and inverse strategies, but it is an important and lucrative (if I've done my study accurately) part of building my portfolio. If you want some sort
Leveraged and inverse ETFs provide me an opportunity to protect long-term investment of hard earned capital during natural shifts in market conditions, rather than try and time the market and sell long-term investments to later rebuy (a proven ineffective strategy). To buy protective options is considerably more risky, and cost-prohibitive. These ETFs allow everyday investors a clear manageable
Please allow investors to make their own decisions on funds and securities they choose to invest in. I have personally been making my own investment decisions for several decades now. Leveraged investments are important to my strategies as I am able to stay ahead of market conditions (like inflation) vs. barely breaking even with non-leveraged investment options. Having to prove my means and
I am writing in strong opposition to this proposed rule. I and my advisors should be the ones to determine if investments are right for me, NOT the government regulators. I also should not have to pass a test before investing in public securities. I understand full well the risks and rewards of leveraged and inverse funds, and it is not up to the government to suggest or tell me otherwise. The
I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds
I have invested for many years in inverse and leveraged funds for my investment portfolio. I use them to hedge positions as well as enhancing returns. I should be able to invest at my own risk without permission from regulators. As a college graduate in math, I am able to understand this product! I should not have to go through a test to be able to invest In securities that are public. For my
I oppose restrictions on my right to invest in public investments. I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am
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.
With the consolidation of NASD and NYSE Member Regulation, the Financial Industry Regulatory Authority (FINRA) became the largest non-governmental regulator for all securities firms doing business in the United States.
