To Whom It May Concern - I consider the proposed FINRA restrictions to Leveraged and Inverse funds to be yet another example of the Nanny State coming to the rescue of individuals that the government and their agencies feel the need to protect. I for one am more than capable of understanding the risks of these investment vehicles and want NO restrictions on my investment strategy. L&I funds are excellent short term alternatives for volatile markets (such as early 2022) and are especially useful as hedges to the larger percentage of more traditional equity positions. These funds have a place - albeit a minor one - in my portfolio and the principles of a free market would unduly suffer should such investment alternatives be restricted to a select few. Those select few who are, coincidentally enough, chosen by the very agency trying to take away my right to manage my portfolio in a manner I see fit.
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
Mark Rafter Comment On Regulatory Notice 22-08
To Whom It May Concern - I consider the proposed FINRA restrictions to Leveraged and Inverse funds to be yet another example of the Nanny State coming to the rescue of individuals that the government and their agencies feel the need to protect. I for one am more than capable of understanding the risks of these investment vehicles and want NO restrictions on my investment strategy. L&I funds are excellent short term alternatives for volatile markets (such as early 2022) and are especially useful as hedges to the larger percentage of more traditional equity positions. These funds have a place - albeit a minor one - in my portfolio and the principles of a free market would unduly suffer should such investment alternatives be restricted to a select few. Those select few who are, coincidentally enough, chosen by the very agency trying to take away my right to manage my portfolio in a manner I see fit.