It was shocking of knowing that our regulators plan to limit our right to invest in leveraged and inverses funds. Certainly, we understand the risk of investing and the choice of risk and reward should be left to the investors. The investment choices and the type of investments should be open to all, but not just a few privileged, i.e. the wealthy ones, and the investment firms...etc. As an
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
Hello FINRA,
I have been using leveraged ETF's in my portfolio using a strategy based on an algorithm that helps me decide when to buy and sell and I have been successful using this strategy. I have a firm belief that I, not the regulators should be able to choose the investments that are right for myself and my family. Public investments should be available to all of the public, not
The Office of the Ombuds functions independently from other FINRA departments and management. It reports directly to the Audit Committee of FINRA's Board of Governors. The Ombuds provides information to the Audit Committee and executive management — while preserving confidentiality and anonymity — on trends, issues and/or concerns.
This Notice describes the protocol by which FINRA will announce the effective dates of the new FINRA rules that are being adopted as part of the consolidated rulebook (Consolidated FINRA Rulebook).
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
Dear FINRA, As a US citizen and investor, I expect to be able to make my own decisions when it comes to my investing choices. Individuals should be able to choose from a variety of investments, including leveraged and inverse funds, in accordance with what is right for them in their own opinion. We are adults and can make our own informed decisions without having to jump through additional hoops
While I understand the SEC's concern to protect potential investors, straightforward access to leveraged and inverse funds are an important part of many, including my own, investment strategies. I have an extensive long portfolio and I use leveraged and inverse ETFs to hedge my long positions. This has been especially helpful to my bottom line in these recent volatile market sessions.
Overview of FINRA Senior Exploitation Rules
The FINRA Senior Exploitation Rules provide firms with the tools to protect senior investors and help firms address risks relating to possible financial exploitation. FINRA Rule 4512 (Customer Account Information) requires firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person upon the opening of a
ul.rulebook{list-style-type:none;padding-left:0px;}
ul.rulebook ul.rulebook{list-style-type:none;padding-left:30px;}
ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:60px;}
ul.rulebook ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:90px;}
ul.rulebook li{margin-top:20px;text-transform:uppercase;font-weight:400}
#tab-links, .book{display:none;}
Expand All
