I will always support my God giving will to choose what I want and to invest in securities I want to choose. Just because I gave my email above, I do not wish to be sent any further information on future communications use the current United States Postal Service. Sincerely and with
I am writing to inform you that I oppose this regulatory proposal to limit access to leveraged and inverse funds. I feel that retail investors like myself are more than capable of understanding the technicals and risks of leveraged and inverse etfs. Restricting trading of these equities is a violates the principles of the free market.
I expect to have the freedom to invest my money in the public investments of my choice. I shouldn't need to go thru any special process or measures being suggested by FINRA. As a average investor I feel informed and aware enough on the risks of these investments as such and should not need to prove that to anyone.
There are already disclaimers set up at several brokerages regarding high risk investments such as leveraged funds. Fidelity had me sign one already because I changed my investment style . It is up to the individual to gain the knowledge one needs to make informed decisions, not the government .
OverviewThis guidance is intended to provide direction on key information for a prospective and existing FINRA member firm that is contemplating to engage in activities utilizing an online platform or mobile application.1 Under Standard 6 of FINRA’s Standards for Admission (Standard), an applicant’s online platform or mobile application that the applicant intends to employ for the purpose of
Each investment carries its own set of risks. The basis of the free market is the principle that investors must bare the consequences of their investments whether the results are beneficial or detrimental. Providing information of risks is a beneficial service, but trading restrictions could harm smart investors with limited resources.
TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 23, 1986
The National Association of Securities Dealers, Inc. (NASD), requests comments on a proposed amendment to Schedule D of the NASD By-Laws that would authorize the NASD to halt over-the-eounter trading in a NASDAQ security pending the dissemination of material news by the issuer. Schedule D
The Variable Annuities section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I do not feel there is a reason for additional requirements for investing in any public investments. I don't believe I should have to take classes or any other requirement in order to invest in any type of investment especially leveraged and inverse funds. There is enough information and restrictions provided by Brokerage houses.
Register to attend an upcoming webinar to learn about the installation of ProProctor, a Prometric application that FINRA is using to deliver qualification exams online, on company-issued equipment. During these hour-long sessions, FINRA and Prometric technologists will discuss resources available to firm Information Technology staff, and a substantial amount of time will be reserved to answer
