Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also
Please. I beg you. We, the public, are not your children. Please stop treating us as such.
If we have funds sufficient to invest, then we have shown that we have sufficient wherewithal to read and understand a contract. Let us.
Several years ago I was granted shares under an Employee Stock Purchase Plan, through eTrade. Upon one grant, I observed that the stock was on an upward run. I sought to
To whom it may concern:
The following are my comments on the proposed restrictions on leveraged and inverse ETF funds.
I have been using long/inverse ETF pairs since 2006 to improve my investment/trading portfolio profits.
During the 2008/2009 market crash, I was making record returns using major sector inverse ETFs while my fellow retired Verizon associates were getting crushed by the market.
How dare you even think about making it more difficult for the general public to save for retirement. That you lump inverse funds along with leveraged funds is particularly damaging; you want the general public to try shorting stocks, really? You think that's less difficult than buying an inverse fund? Inverse ETFs are extremely important to my own trading, and have saved me more than
Afternoon,
I was recently notified about some potential regulation that may impact the ability for ordinary people to invest in complex investments, particularly leveraged funds.
This is troubling to me. In the last 5 years I have been studying investment strategies and just recently took the series 65 with the hopes of helping other people with their investment goals. My studies have had a
To whom it may concern,
Please do NOT restrict access to public investments to only your preferred group of wealthy individuals. As a non-accredited retail investor it is incredibly frustrating to be denied access to the same investments that other people have access to simply because my portfolio isn't large enough. The proposed regulations only serve to prohibit retail investors such
Dear Finra,
Leveraged funds are an important part of my investment strategy. Please do not make them difficult to access.
Yes, I understand and think most understand that the daily reset on leveraged funds means that an investor won't automatically earn the multiple of the index.
That said, they are tax efficient relative to futures for those of us who must invest in taxable brokerage
Within FINRA, we view ourselves as working on the “front lines” of investor protection. What does that mean? It means that we act quickly to identify misconduct, stop fraud and prevent losses, obtain restitution for harmed investors, and remove bad actors from the brokerage industry. Here, we are focusing on that last piece—barring bad actors from associating with a
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
