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I understand the risk of leveraged ETF/products and use them carefully. They help me get bigger returns with less capital. I should be able to choose what I invest in without having to pass tests.
I agree with the limitations being proposed. Retail investors are not generally suitable for these products. If an investor is suitable they can pass a simple test to acknowledge their understanding of the risks similar to options or futures enabled accounts.
I understand the risk of leveraged ETF/products and use them carefully. They help me get bigger returns with less capital. I should be able to choose what I invest in without having to pass tests.
As a citizen of the USA I should retain the right to invest my money as I please. I do not need to pass a test or go through any special process approved by a government agency to do so.
Investor trust and confidence have plummeted to historic lows. But if there is a silver lining amidst these dark clouds, it is that the turmoil creates an opportunity to “fix the plumbing” of the U.S., and global, regulatory architecture – patching the leaks, but also modernizing the piping in such a way to promote market stability and investor confidence, and lay the groundwork for renewed growth and stability.
I don't support this idea. I have the right to decide which kind of securities I want to invest in. Leveraged securities are part of a specific investing strategy that I am testing in a smaller part of my portfolio.
to FINRA regulators dear sir I am aware of the risks of leveraged and inverse ETFs I don't want to go through special passing tests to invest in these funds.they are important for my investment strategy sincerely
All individuals should be able to invest in public securities and everyone should be able to invest in what is right for themselves and their families. You shouldnt have to take a test or need special permission to invest.
This is an unAmerican and classist proposal. All Americans should have the freedom to invest as they see fit, not just the privileged alredy wealthy few. A test is ludicrous. Do not impose this regulation on the backs of the American public.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $1.05 million for failing to provide best execution in certain customer transactions involving non-convertible preferred securities