The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
As an investor, I think I have the right to choose what assets I can invest..I understood the risk when buying the leverage funds.
Why do I have to go through any special process like passing an exam..?? it sounds ridiculous to me man..so do I have to pass one exam to buy any product..? like I need to pass an exam to buy a share of APPL??
This product is important to my strategy.. I can bear the
It is ridiculous to stop us from purchasing these types of securities. Every investor should have the right to invest in any products they deem worthy. That is why it is called capital risk. We all understand not every security is safe and we consider those risks.
I want to have freedom to choose my investments, there is disclosure of risk already before any "risky" asset can be purchased.
I do NOT support further requirements to trade these securities, I should be the one making decisions about risk I am willing to take.
Leveraged and inverse funds play significant role in my trading strategy and investment strategy and can not be
Dear FINRA,
I have successfully used leveraged (3x) ETFs as part of my investment strategy for many years now. They give me a safer way to capture large movements in the market than trading options would.
For example, if you buy a call option on the SPX, that investment could go to zero if you don't time your trade correctly.
However, when buying a 3x leveraged ETF like UPRO, your
I support greater regulation and restrictions on retail investment in complexed investment vehicles. Whether it's FINRA, SEC or some other SRO, I think it would be helpful if retail investors were required to undergo some sort of certification or training process to verify their understanding of the risk involved with trading risky assets.
If I had to choose which instruments would
I vehemently oppose the inflingement on my right to invest in public investments in this county. I am a proud immigrant and worked very hard to get here legally and earn my status in this society by working HARD. I have a family with 3 small children and WE should be able to choose where we want our hard earned assets to be invested. Not only the privileged should be having access to the free
To whom it may concern:
Leveraged funds are vital to responsible management of my family's investments. I've been tasked to safeguard our family monies and this responsibility has taken on extra urgency since my father died and my mother experienced a major stroke.
I have used SPXS as an insurance policy against a major market downturn. Certain external risk factors -- Putin,
The proposed rules are completely ridiculous since the United States is far behind the developed world and any kind of blockchain or cryptocurrency regulation the United States must 1st establish procedural laws and regulations around crypto that provide clear guidance to the citizens on how they can invest in and own cooker occurrences and cooked occurrences depending on the type should not even
This is completely unacceptable. If I as an investor decide to take a calculated risk based on my research, that is my decision to make. There shouldn't be any hindrances on how I invest my capital since I am assuming the risk. This rule effectively decides the investor's risk tolerance for them.
