Patrick OConnell Comment On Regulatory Notice 22-08
Patrick OConnell
N/A
Buying these funds isn't any different from investing in high beta stocks, and I'd argue it's actually safer than doing so by focusing on a basket of stocks in a certain sector than only one. It's also safer than trading options, which is what people will be forced to do if they can't trade leveraged ETFs.
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
Patrick OConnell Comment On Regulatory Notice 22-08
Buying these funds isn't any different from investing in high beta stocks, and I'd argue it's actually safer than doing so by focusing on a basket of stocks in a certain sector than only one. It's also safer than trading options, which is what people will be forced to do if they can't trade leveraged ETFs.