Douglas Liebhafsky Comment On Regulatory Notice 22-08
Douglas Liebhafsky
N/A
Inverse and leveraged ETFs are a valuable investing tool. They are already subject to the normal securities-disclosure requirements, and to burden them with further restrictions would run counter to the fundamental premises of our securities laws. So long as disclosure requirements are met, there should be no impediment to investing -- investors should be free to decide for themselves on the merits of these securities.
For the Public
FINRA DATA
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
FINPRO
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
FINRA GATEWAY
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
For Case Participants
DR PORTAL
Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
Need Help? | Check System Status
Log In to other FINRA systems
Douglas Liebhafsky Comment On Regulatory Notice 22-08
Inverse and leveraged ETFs are a valuable investing tool. They are already subject to the normal securities-disclosure requirements, and to burden them with further restrictions would run counter to the fundamental premises of our securities laws. So long as disclosure requirements are met, there should be no impediment to investing -- investors should be free to decide for themselves on the merits of these securities.