I have inverse funds in my investment accounts. They are a portion of the accounts, not the majority of the accounts. These funds bring some additional diversity and balance to my accounts. I am investing money that I have earned throughout my career, and I should be able to do that as I see fit without government regulation either adding needless tasks for me to accomplish or restrict my investment earning potential. Both of my brokerage accounts already include warnings and information about the inverse funds I trade. These warning pop up before I can submit each trade. If an investor chooses not to read and understand those warnings, or simply ignore the warnings, then that is that individual investor's problem. The rest of the investing community should not be held back with unnecessary government regulation on this topic.
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
Rich Freeman Comment On Regulatory Notice 22-08
I have inverse funds in my investment accounts. They are a portion of the accounts, not the majority of the accounts. These funds bring some additional diversity and balance to my accounts. I am investing money that I have earned throughout my career, and I should be able to do that as I see fit without government regulation either adding needless tasks for me to accomplish or restrict my investment earning potential. Both of my brokerage accounts already include warnings and information about the inverse funds I trade. These warning pop up before I can submit each trade. If an investor chooses not to read and understand those warnings, or simply ignore the warnings, then that is that individual investor's problem. The rest of the investing community should not be held back with unnecessary government regulation on this topic.