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The Neutral Corner - Volume 2—2022
[Please note: There is currently no text to accompany this notice]
Hi FINRA,
Regarding Regulatory Notice #22-08: Please let individual investors choose what amount of risk they are willing to take for themselves and their families. Leveraged and inverse funds may become more specialized to the ultra-rich investor if more hurdles are put in place for those who wish to invest their money in such vehicles.
Please allow the people to govern their own investments
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Published January 5, 2024.Updated June 12, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement dates
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I understand per the FINRA Reg Notice #22-08 I may not be able to buy leveraged and inverse funds and dozens of other popular investments deemed to be complex. Please reconsider this negative stance. My broker/financial expert has my permission to make investment decisions, including into leveraged and inverse funds. He is knowledgeable and very capable of making financial decisions for me. That
Hi,
I am very concerned about the FINRA Regulator notice #22-08 with the following reasons:
(1) I should be able to choose the public investments that are right for my family. Public investments should be available to all of the public, not just the privileged.
(2) I am capable of understanding leveraged and inverse funds and their risks. Unnecessary measures and extra requirements actually
It is not the government's role to determine an individual's ability to understand their own finances. Therefore I oppose this notice quite directly. Information about "complex" and inverse financial products is freely available online, and any able minded adult is able to find this information easily. Just because an individual may not fully understand a