It is unfair and unfathomable that you would suggest limiting regular investors from investing in complex securities including leveraged funds. The prospectus for these funds are clear and easy to understand. Products such leveraged funds are behaving exactly as expected and as outlined in understandable prospectuses. No additional regulation is needed or warranted. Any regulation that prevents regular investors from utilizing these securities only hurts their and my long term investing strategies. Please drop consideration for these regulations.
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
James Baric Comment On Regulatory Notice 22-08
To whom it may concern,
It is unfair and unfathomable that you would suggest limiting regular investors from investing in complex securities including leveraged funds. The prospectus for these funds are clear and easy to understand. Products such leveraged funds are behaving exactly as expected and as outlined in understandable prospectuses. No additional regulation is needed or warranted. Any regulation that prevents regular investors from utilizing these securities only hurts their and my long term investing strategies. Please drop consideration for these regulations.