Hello,
I have utilized leveraged funds for years and this is a big part of my investment strategy. Frankly they are critical. Removing my ability to utilize these funds creates a significant issue for me. I use leveraged funds strategically in my IRAs in place of alternative derivatives which are unavailable in such accounts. Market fluctuations and limited annual contribution amounts necessitate alternatives which leveraged funds provide for me. I am happy to sign an acknowledgement of the risk, but should not be limited in my ability to buy and sell such funds after having done so for over a decade.
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
Erik Towt Comment On Regulatory Notice 22-08
Hello,
I have utilized leveraged funds for years and this is a big part of my investment strategy. Frankly they are critical. Removing my ability to utilize these funds creates a significant issue for me. I use leveraged funds strategically in my IRAs in place of alternative derivatives which are unavailable in such accounts. Market fluctuations and limited annual contribution amounts necessitate alternatives which leveraged funds provide for me. I am happy to sign an acknowledgement of the risk, but should not be limited in my ability to buy and sell such funds after having done so for over a decade.