I am shocked and disheartened to know that regulations/prospectuses are under consideration to preclude retail investors from trading the Leveraged and Inverse ETFs, such as TQQQ and SQQQ, etc. As a retail investor with limited funds to hedge against market risks, for instance, I often buy SQQQ to protect my tech stock position without holding up a large proportion of my liquidity, which has worked really well to cover my long term holding. Should I be deprived of such a basic right to trade ETFs of this sort, I have to resort to complex option plays or shorts to cover my positions, which will badly compromise my investment strategies. Every retail investor deserves fair play in the stock market. So please don't take our rights away!
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
Zhi Liang Comment On Regulatory Notice 22-08
I am shocked and disheartened to know that regulations/prospectuses are under consideration to preclude retail investors from trading the Leveraged and Inverse ETFs, such as TQQQ and SQQQ, etc. As a retail investor with limited funds to hedge against market risks, for instance, I often buy SQQQ to protect my tech stock position without holding up a large proportion of my liquidity, which has worked really well to cover my long term holding. Should I be deprived of such a basic right to trade ETFs of this sort, I have to resort to complex option plays or shorts to cover my positions, which will badly compromise my investment strategies. Every retail investor deserves fair play in the stock market. So please don't take our rights away!