SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
The Securities and Exchange Commission (SEC) has approved changes to Rule 17a-5. This rule authorizes the designated examining authority (DEA) to grant or deny requests from broker/dealers for extensions of time to file their FOCUS and audited annual financial reports. Also, these
Katie Kuehns partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Ms. Kuehns joined FINRA in 2007 and has served in a range of roles responsible for various aspects of Human Resources including Business Partnering, HR Strategy and Total Rewards.Ms.
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is implementing enhancements to the FINRA equity trade reporting facilities to support the reporting of fractional share quantities. The enhancements require associated updates to FINRA’s trade reporting guidance, as described in greater detail in the March 2024 Trade Reporting Notice. These enhancements are being
Dear FINRA:
As a systematic strategy, I have incorporated leveraged ETFs in my portfolio for the last six years. The strategy is mathematical and I follow an algorithm that determines when to buy or sell. I have use the strategy since 1989. It works and I am well-versed with the methods. I firmly believe that I should be able to choose the investment products that are key to my plan. Not a third-
I am an ultra high net worth investor. UPRO is an important part of my investing future. It is my dream to leave money to future generations. UPRO is an important part of my charitable giving. I plan to hold UPRO for the remainder of my life. I am a long-term investor. I understand volatility. I have held UPRO for eight years. It goes up and down. I have achieved a 28.5% CAGR by holding and not
I vehemently oppose the inflingement on my right to invest in public investments in this county. I am a proud immigrant and worked very hard to get here legally and earn my status in this society by working HARD. I have a family with 3 small children and WE should be able to choose where we want our hard earned assets to be invested. Not only the privileged should be having access to the free
I was notified of attempts by the ministry of security and exchange to pass new regulations disallowing retail investors from investing in leveraged and inverse funds. Thank you for this important communication on where you expect to steer the market.
I use inverse funds for the express purpose of hedging against market manipulators attempting to lower stock values at the expense of retail
Anyone capable of understanding what a stock or bond is, is more than capable of understanding 3x daily leverage on a product.
Leveraged ETFs are a valuable tool for responsible investors and are integral to mine and many others' financial planning.
More importantly, the fund websites already have lengthy disclosures regarding the risks of levered instruments. If someone is going to
Leveraged funds are critical to my investment strategies. Yes, I have lost money at times, but I understand the risks. A risk I can't plan for is regulation taking away my ability to make the right choice for me and my investment goals and risk appetite.
I think every investor should be allowed to invest in the securities they wish to -- regardless of their net worth.
As a responsible
Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
