to: FINRA I believe the proposal to restrict my or anyones right to invest in the way that they desire is more of the government nanny thinking. This hasnt worked well in anything that any regulatory body has implemented. People cant learn unless they can make mistakes and you are clearly on a misguided mission..
I do not want regulations to stop me from investing. I would like to be well educated, so maybe put an education process in place where we could break it down simply, by bullet points and not with the fine print.
If you are going to regulate, please focus on the documentation and education processes.
I, not the government, 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.
Leveraged and inverse funds are important for my investment strategy. They help me hedge my investments we well as earning enhanced returns.
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Executive Summary
The Department of the Treasury (Treasury) is adopting final rule amendments to the Bank Secrecy Act (BSA) effective January 1, 1996. In two separate actions, Treasury is making changes that will facilitate tracing funds through the wire-transfer process. One rule
This is clear government overreach. I am well educated (PhD in physics) and have served the government for most of my career. As a public servant, I did not have a high income, but I managed to build wealth using, among other tools, leveraged and inverse funds. DO NOT TAKE THIS FROM ME!! PLEASE
Comments: I purchased $80,000 of FAS in a client account prior to Wells banning it in 2008. We did not trade the position and recently sold it for $1,000,000. The position was paid for in full and not leverage. It beat holding individual bank stocks, by triple. Leveraged funds if used conservatively fulfill a need. Keep them.
Please leave are investment options well enough alone. Being allowed to trade freely with our own decisions is a freedom that American's enjoy. Forcing people to go to brokers will make them "broker" and add undo complications. Leave government control of an individual investors money out of the equation.
The Net Capital topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The ability to freely buy inverse funds is absolutely crucial for investors, as they are among the best things that can protect against a down market. It's a given that ALL investments have risks, and many investors, including myself are well aware of the risks we CHOOSE to take. I strongly OPPOSE these restrictions.
I am an informed and educated retail investor and i make investments in leveraged ETFs that are indexed to various sectors to hedge risk. I need this ability and it is my right to invest as i see fit for my success. I believe investments tied to sector indices are no more riskier than individual stocks which i invest in as well.
