I would request that I continue to be allowed to use leveraged funds as a part of my portfolio as I have been for many years. My specific investment style uses these funds as a carefully considered strategy for a relatively small portion of my investment portfolio. Going through vetting and complex processes will add nothing to my investing safely and ultimately I believe that I have the right to determine what is an appropriate investment for myself. Thanks for your consideration.
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
Kim Kwiatek Comment On Regulatory Notice 22-08
I would request that I continue to be allowed to use leveraged funds as a part of my portfolio as I have been for many years. My specific investment style uses these funds as a carefully considered strategy for a relatively small portion of my investment portfolio. Going through vetting and complex processes will add nothing to my investing safely and ultimately I believe that I have the right to determine what is an appropriate investment for myself. Thanks for your consideration.