I have become aware of the unnecessary regulations planned for restricting my access to invest in leveraged and inverse funds. I have been trading inverse and leveraged ETFs for the last four years without any issues. Adding restrictions will stop me from trading and investing in ETFs as well as many other investors that can profit from changes in the market trends.
ETFs and other instruments are already subject to proper reporting and controls that make them reliable and the risks are quite clear for any investor that wants to use them. I don't think it is needed to protect investors like if they were small children where the instruments available have already a high level of supervision and controls.
On the other hand, adding more regulations and restrictions just adds to the cost of investing for brokers that is passed to the investors. Indirectly, all these restrictions will add to the cost of investing in a market that is supposed to be accessible and transparent.
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
Juan Arjona Comment On Regulatory Notice 22-08
Dear FINRA,
I have become aware of the unnecessary regulations planned for restricting my access to invest in leveraged and inverse funds. I have been trading inverse and leveraged ETFs for the last four years without any issues. Adding restrictions will stop me from trading and investing in ETFs as well as many other investors that can profit from changes in the market trends.
ETFs and other instruments are already subject to proper reporting and controls that make them reliable and the risks are quite clear for any investor that wants to use them. I don't think it is needed to protect investors like if they were small children where the instruments available have already a high level of supervision and controls.
On the other hand, adding more regulations and restrictions just adds to the cost of investing for brokers that is passed to the investors. Indirectly, all these restrictions will add to the cost of investing in a market that is supposed to be accessible and transparent.