SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes
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Senior Management
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SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
I urge FINRA not to further regulate the ability of investors to purchase complex funds including leveraged and inverse funds. Investors should have the freedom to choose their investments without judgment or approval from government regulators. The current regulations and disclosures of risk are sufficient. I am capable of understanding risks without government judgment of me.
Proposed rules
Most people completely understand all the risks inherent in leveraged and inverse funds. Brokerages provide notices for people who do not understand them as a warning (which should be enough!) and it should be an investors responsibility to know what they are investing into. I hold a PhD and know the risks inherent in these types of investments and I think the proposed rule is unnecessary and
To whom it may concern, Instead of regulators choosing which investments I can and can't use, 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. I shouldn't have to go through any special process before you can invest in public securities. If a product is complicated, there are already rules
FINRA Board, This is a major regulatory overreach. I would hope that this rule regarding individual investors' access to "complex" investments was proposed with the best of intentions - to protect investors from tking on unnecessary risk. But it is not up to you to determine the level of risk that an individual investor is willing to take on - it is up to the investor, and the
I disagree with the proposed rule in FINRA Regulatory Notice #22-08. 1. I should be able to invest in public securities as an individual investor, including leveraged and inverse funds without any barriers. 2. Brokerages can provide disclaimers, notices, and education to individuals however, these should not be a condition for investment or used as a barrier to entry. 3. Regulatory oversight
Dear FINRA,
I think the current rules for investors are sufficient and there should not be more regulations placed on people in making investment decisions. I believe the vast majority of investors understand the risks of being in the market. Leveraged investments and those for accredited investors provided needed capital and are valuable tools in managing risk in a portfolio. Investors do not
To Whom it May Concern,
One of the beautiful and necessary conditions of good investment options is a free market. A free market allows all people the opportunity to invest in the same equities - whether you are a millionaire or a recent high school graduate with your first part time job. Pro Shares provides the everyday man the ability to invest in inverse funds and balance their portfolios as
