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Over the years, I have used many of the "complex products" that are the subject of Regulatory Notice 22-08 including leveraged ETPs, inverse ETPs and options. In all cases, I did the appropriate research on these products to understand how they work and the risks associated with using them. These products have been an important part of my investment portfolio to either hedge
I am opposed to proposed FINRA Regulatory Notice #22-08. I, not regulators, should be allowed to choose the publicly available investments that are most appropriate for me and my family and our investment goals. These investments should not be limited to privileged few.
I should not have go through any special process like taking and passing an exam in order to invest in public securities such as
Ah yes, quite a brilliant regulatory notice. Only us ~~~~sophisticated~~~~~~~~ investors are worthy enough to trade such complex financial instruments. The peasantry are wholly incapable of understanding the Bitz-Coins on our academic level. The only issue with this proposal is that it does not go far enough to """""protect"""
These are products that are used by sophisticated investors who understand the risks and are willing to take them as part of their overall strategy for their reward.
Restricting access or imposing onerous criteria to meet before an investor can trade/invest in them goes against every principle of a free-market economy.
The entire premise of this regulatory notice is false, and data mining is used
I not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do you
I am writing to express serious concern over FINRA Regulatory Notice #22-08 and the prospect of restricting my ability to invest in these leveraged products. I am a retail investor that has done significant diligence on these products. I understand their risks, I understand the concept of volatility decay, and yet as a relatively small time investor I've been able to enjoy significant
In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will occur on
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Operations
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 15 of the NASD® Rules of Fair Practice. The amendment permits NASD members to use negative-response letters in bulk exchanges of money market mutual funds, provided the
I am a retail investor, and have a small part of my IRA accounts that I manage myself, while placing the bulk of the funds into index funds and the like. However, I believe that I should have the right and access to all the same financial instruments that professional investors do for the portion that I manage myself. From time to time, I use leveraged and inverse funds. This are risky and
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved an amendment to Section 13 of Schedule E to the NASD By-Laws (Schedule E). The amendment permits NASD members to sell securities issued by an