Dear FINRA, First, let me introduce myself. I am Nathan Ayotte, and I am an individual investor with personal goals of acquiring a large average annual compound rate of return each year. Personally, I have been investing in a particular triple-leveraged ETF fund based on the Nasdaq-100 (Ticker: TQQQ) for 4 years, provided by an asset management company called ProShares. The fund is a fantastic,
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FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The protection of senior investors is a top priority for FINRA. As such, FINRA is interested in whether additional tools, guidance or changes to FINRA rules or administrative processes are
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
A final production User Acceptance Test (UAT) for
To whom it may concern I am an American, and as an American tax paying citizen of this great country. I am saddened and also frustrated by the actions of Wall Street hedge funds, market makers, brokers and the FINRAS . People such as yourself that are willing stoop to such low levels in order to line their pockets with wealth while taking away from others. Does the word freedom mean anything to
I am very concerned that there is talk about us having more restrictions on what we can invest in not regulators 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. I am able to go online and read the information to decided what to buy and not have to go through any special
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
A production User Acceptance Test (UAT) for
Subject: Investors ability to trade "complex products" - including leveraged and inverse funds (L&I Funds).
Dear Regulators,
I am Kamala Chandrasekaran, 58 years old and I like to voice my opinion regarding your proposal on limiting access to Leveraged and Inverse ETFs (complex products).
Educated Investor: I like to inform you that I am an educated investor in the
Dear Madam, Sir:
I am writing concerning possible restrictions that may be applied to certain securities like leveraged or inverse funds.
I am a private, non-professional investor, but do my homework on stocks. Especially in the last few years, leveraged and inverse ETFs have been an important part of my investment strategy. While they represent a lower percentage of my investment funds, they
To whom it may concern:
I was very concerned to hear of the proposed regulatory changes for leveraged and inverse funds.
While I support the surface notion of FINRA protecting retail investors, I do not believe restricting access to these "complex investments" is in any way an appropriate step.
Education is a worthwhile goal, but mandating licensing or other knowledge tests
