The limitation on the ability for the individual investor to invest in inverse and leveraged investments is asinine. I may not be a CFA nor have FINRA series licenses, but am smart enough to know "I think this sector is going to go down, and I don't want to become a short seller, so investing in this ETF that is inverse allows me the freedom to invest in something I believe in
I invest and trade in my Roth IRA account. The IRS prohibits any short positions in an IRA thus eliminating any opportunity of arbitrage except by using inverse mutual funds. Prohibiting investment in leveraged or inverse funds would cause investors like me great harm. I believe that I understand them well enough to avoid common pitfalls. In years past I held Series 6, 7 and 24 licenses and for a
If FINRA and all other market regulatory agencies are going to start focusing more attention on keeping retail from burning themselves when they appear powerless to do the same for MMs, prime brokers, reckless hedge funds, and conglomerates that have against all common sense and reason been allowed to become all of these things under the same umbrella with apparently no oversight, not to mention
Comments: As an active private investor I understand the criticality of having access to inverse and leveraged ETFs. These products enable long term, full cycle investors to take advantage of short-term trends across multiple market segments, providing diversification and risk management of my portfolio. I would hope that FINRA allows for an expansion of these types of investing products in the
Dear FINRA, It has been brought to my attention by my brokerage firm that your regulatory agency is considering stripping me of my right to invest my money as I see fit. I do not believe you should choose what equities or funds in which I can invest or whether or not I take a long or short position in those equities or funds. Furthermore, do not require me to take some course that you develop to
As a retail investor, I am offended that more legislation is being implemented in order to "protect" retail investors who are not smart enough to comprehend products that are offered in the open market. Specifically volatility related products, which are an essential part of hedging for market risk. Why are you attempting to shut retail out of products which we can actually benefit from
I not regulators should be able to pick the investments that are right for me and my investment strategies. This is another regulatory overreach that serves the institutions and not the public, it should never be accepted. I do not need to be patronized by FINRA or any government institution on how I invest. It is those same dumb and shortsighted limitations that are driving social security into
I am very troubled upon hearing FINRA is considering limiting or stopping many investors from being able to invest in inverse funds. You cannot short stocks in an IRA so inverse funds are one of the main ways you can still make some investment income when the market is dropping. Why are you continuing to divide the majority of investors from the elite and large investors that can do almost
GUIDANCE
Continuing Education
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Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing
As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
