Please stay out of people's private lives. I've held some of these funds for quite awhile. Have I learned a hard lesson on how these products work?--YES. But I've held in waiting for an eventual bear market that I know someday will come. Now that is almost upon us, you want to change regulations where people like me can't play the game no more? Just as I'm about to get
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Please do not limit private investors access to 2x leveraged index funds and non-leveraged inverse funds. A leveraged fund based on a broad index (S&P500, Nasdaq, total market, etc) tends to be a less expensive and safer alternative to broker margin. They represent a valuable tool for ordinary investors to access leverage outside of potentially predatory broker margin interest rates
Why would you take more away from hard working individual private investors. This is unacceptable. Why should there be any regulations differences for anyone? You are considering making the market playing field even more uneven than it already is! I strongly object to any proposed changes to investing in any public securities, especially leveraged and inverse funds!! This will greatly affect
Greetings. It is my right to invest my money how I choose. I am a young person with savings that are currently withering away due to inflation. I cant afford a house either. My only option is to invest, and that is by the design of the US governments programs that cause inflation and disincentivize saving cash. So, some of my money is invested in leveraged funds, and I am doing quite well at
These rule changes are long overdue - public faith in equity markets represent a vital economic and strategic strength of the US and our position in global finance. There will be specific firms that lobby to oppose these rules for their own selfish near term purposes - but they are ultimately short sighted and against the public interest. Tens of millions of Americans rely on equity markets now
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
The FINRA is a private group working FOR the government and should not have this oversight. Anyways. I should be allowed to invest in leveraged products (inverse or otherwise) and explode my own account if I want to. There's nobody to blame but my self if I make a stupid [REDACTED] investment and get nuked. It's no different then playing the options market (which is basically gambling,
