I am concerned about potential regulations that would limit access to leveraged and inverse funds especially for small investors. I find these funds useful to hedge my portfolio while preserving cash. They are a useful risk management instrument when used appropriately. Rather than place burdensome restrictions on investors, FINRA might consider requiring more transparency from companies issuing such funds including more information on the fund returns compared to the unleveraged index over various time periods and tracking errors. Thank you I think individuals are able to understand the risks.
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
Gary Fox Comment On Regulatory Notice 22-08
I am concerned about potential regulations that would limit access to leveraged and inverse funds especially for small investors. I find these funds useful to hedge my portfolio while preserving cash. They are a useful risk management instrument when used appropriately. Rather than place burdensome restrictions on investors, FINRA might consider requiring more transparency from companies issuing such funds including more information on the fund returns compared to the unleveraged index over various time periods and tracking errors. Thank you I think individuals are able to understand the risks.