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Investors should not have to pass tests and we should be able to approve our own strategies. Limiting our ability to invest in leveraged and inverse funds just gives wealthy people and companies the ability to manipulate the market without giving individuals the right and ability to protect themselves from their schemes.
I oppose restrictions to my right to invest in public investments. I, not regulators, should be able to choose the public investments that are right for me and my family. I shouldn't have to go through any special process like passing a test before I can invest in public securities including cryptocurrency funds such as BITO.
1. Do Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?
Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with Conflicts
I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Explain that you are capable of understanding leveraged and inverse funds and their risks. Tell regulators you do not need these measures imposed on you.
I am aware of the risks involved in leveraged and inverse funds. I use them to hedge my portfolio, not as my primary investment vehicle. I do not think I should need to take a test, or have a certain amount of assets to invest in these funds. The funds should be available to all investors. Existing disclosures are sufficient.
I should be able to invest in any public company I choose. I certainly dont want the government telling me what I can invest in, or have to be tested to see if my understanding of leveraged and inverse funds. It is imperative to hedge your investments so when the market crashes again I wont be totally broke.
This is not right. I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds.
Summary
FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services (DRS) arbitration forum. The amendments impose requirements on expungement requests (a) filed by an associated person during an investment-related, customer-initiated arbitration (customer
1. I do not want Government Regulators telling me what to do in deciding my or my family's investments.
2. Why should I pass a test to invest, I am not brokering securities!
3. Leveraged and Inverse Funds are part of my Investment Strategies!
4. What FINRA is proposing is what I would expect from a Communist Government!
Dear Sir or Madam
I have responsibly used leveraged and inverse funds for > 5 years. I know exactly what they are and how they function. I strongly resist having to go through any special process, test, special limitations or any restrictions on my ability to purchase, sell short or otherwise trade these securities.