I use double and triple leveraged long and short index funds as one of multiple tools to implement my investment objectives. I invest a small percentage of my investment portfolio in leveraged assets. These leveraged investments achieve a small dumbbell portfolio distribution in what is predominantly a conservative porfolio.
I am a high net worth investor and require special permission to invest in leveraged index funds on my investment platform which includes review of applicable material.
I believe that the current safeguards are sufficient to protect me while not interfering with my ability to continue successfully using leveraged instruments.
I believe that mandating an exam will be a boon to the test prep industry while adding little protection for me.
I am especially concerned about how a "cooling off period" provision would limit my continued ability to use leveraged index instruments.
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
Roy Johnson Comment On Regulatory Notice 22-08
I use double and triple leveraged long and short index funds as one of multiple tools to implement my investment objectives. I invest a small percentage of my investment portfolio in leveraged assets. These leveraged investments achieve a small dumbbell portfolio distribution in what is predominantly a conservative porfolio.
I am a high net worth investor and require special permission to invest in leveraged index funds on my investment platform which includes review of applicable material.
I believe that the current safeguards are sufficient to protect me while not interfering with my ability to continue successfully using leveraged instruments.
I believe that mandating an exam will be a boon to the test prep industry while adding little protection for me.
I am especially concerned about how a "cooling off period" provision would limit my continued ability to use leveraged index instruments.