Public investments should be available to all of the public, not just the privileged. Leveraged funds are efficient and make an important part of the complete prudent investment portfolio. Without them I will find more risky and less liquid assets.
I strongly oppose any changes to regulation as it relates to leveraged products. They offer a funding mechanism for people who cant save. For an aggressive investor, they are much safer that concentrating assets in one stock, with similar volatility and results.
Hi, please do not regulate leveraged ETFs further. This would push me to look into riskier assets such as crypto. Keep the market free as it should be, further regulation is unnecessary. Have a good day. Thank you
Almost all of investors are already well aware of the meaing of investing in leverged or inversed efts and no one can or should limit the personal choice for investing with their own money and assets I totally oppose for the FINRA regulatory notice
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065:
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Symbol
Company
Entry Date
SOES Execution Level
JARS
Alltrista Corporation
3/24/93
1000
CHCS
Chico's FAS, Inc.
3/24/93
1000
FFBG
First Federal Savings Bank of Brunswick Georgia
Revision to Net Capital Treatment of Clearing Agreement Penalty Clauses
In the Regulatory Short Takes section of the Spring 2000 Regulatory & Compliance Alert, Volume 14-1, NASD indicated that all or a portion of the amount specified in a clearing agreement as a termination fee would be treated as a charge to the introducing firm's net capital. The Question and Answer included in
The Crowdfunding Offerings: Broker-Dealers and Funding Portals 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 money I invest is my money, not the government. The investment is small and is in a separate asset class from stocks, bonds, ETF's etc. This thinly disguised attempt to take over the banking system, making everything requiring permission, will not be obeyed.
I disagree because I have the full rights to invest my own money into any assets I desire, and all investors should be aware of the risk as they invest. Tests should not be required as investors should be and are aware of what we are investing into
Crypto assets are not just an investment. They are not just a method of transacting. They are an entirely new technology stack upon which new technologies and relationships will be built. Please allow people to decide how they invest and what innovations they choose to support.
