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Dear FINRA,
I am hereby writing to object to the rule enhancement articulated on Regulatory Notice 22-08, which proposes a restriction on investors' ability to trade complex products and options.
I clearly understand your concern about investors making uninformed investment decisions on options and complex products specifically to leveraged or inverse exchange-traded products. However,
October 3, 2022 Ronald W. Smith Jennifer Piorko Mitchell Corporate Secretary Office of the Corporate Secretary Municipal Securities Rulemaking Board FINRA 1300 I Street NW 1735 K Street NW Washington, DC 20005 Washington, DC 20006-1506 Dear Mr. Smith and Ms. Mitchell: I am the General Counsel of Colliers Securities LLC. I am writing you this letter relating to The Municipal Securities Rulemaking
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, July 18, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
I am in favor of Notice 21-19 and believe it is imperative that changes be implemented to level the playing field between retail, institutional and large firms concerning available information. Any changes that bring information to retail investors quicker and more accurately, such as short interest and FTD data, cannot come soon enough and is long overdue.
Imposing a ban on holding the funds included in this notice casts too wide a net. For sure investors need to understand what products they are purchasing, but this is true with all asset classes and I for one believe that this is an overreach on the part of regulators. Having already signed an attestation as to the increased risk associated with leveraged funds, I am fully aware of my risks and
Dear FINRA Regulators, In regards to Regulatory Notice #22-08, as an individual investor, who has used leveraged and inverse ETFs extensively, I oppose proposed restrictions to my ability to invest in these products as I see fit. I left Vanguard because of their decision to eliminate the ability of investors to use these products. As an adult who is capable of understanding the risks involved
I wish to maintain my current freedom to invest in public securities of my choosing. Though the notice means to reduce the risk for investors, it will have an echoing effect across asset classes that may not be fully realized. America is a land where we grant greater freedom than most. This freedom has allowed us to create one of the greatest economies of all time. The reduction of risk exposure
Dear FINRA regulators,
I'm writing to oppose Notice #22-08. Investors knows best for their investment objectives and therefore they shall choose the public investments that are right for themselves and their families. I as all individual investors am capable of understanding leveraged and inverse funds and their risks, and we do not need any measurements to impose on us. Public
Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023.
The purpose of this Election
In regards to the Regulatory Notice 22-08.
I am a retail investor and have been using both long and short leveraged ETFs sense 2009 without issues or concerns of their operation or behavior. I use them to enhance market performance on the up side and to reduce risk when I see the market pulling back.
I would hope to continue using the funds long into the future and would be disappointed if they