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I should be able to choose the public investments that are right for me. Public investments should be available to all of the public not just the privileged. I should not have to pass a test to invest in public securities like leveraged and inverse funds. Leveraged and inverse funds are important for me to be able reduce risk in my investment portfolio.
Individual investors should be free to determine their own level of acceptable risk. The responsibility should be on those offering securities to clearly explain the risks and in individual investors to accept those risks. Individual investors should not be required to pass tests or meet a bar of net worth in order to purchase publicly available securities.
This is an unfair rule preventing ordinary investors from taking full advantage of the market. As a graduate of law school, I am perfectly capable of making these types of decisions without being forced to take burdensome tests. There should be no such requirement provided I am offering no advice to others about investment. I strongly oppose this measure.
I have a right to invest freely in what I deem to be an acceptable risk for myself and family. Inverse and leveraged funds help me prospect and hedge against unanticipated moves in the market. By forcing people to jump through hoops by passing certain tests etc. it just creates more headache and slows down the efficiency of markets.
Please do not restrict what I may do with my investments. Small investors should not have to pass tests to show their intelligence concerning anything they choose to invest in. All investments should be available to us. I do not need or want these restrictions imposed on me, as I'm sure many of my peers feel as well.
I want to make my own decision regarding leveraged investments. If you take this away from investors you must stop margin trading also. I have been using leveraged investments for years and do not need any further training or tests. A simple warning like I received years ago is enough.
What right do you have to limit mine? Investments should be between my broker and me. You have no business testing, gatekeeping, or knowing my income. Worst of all, cooling off periods? Day traders tend to make multiple trades a day; don't ruin an entire way of life.
I was in the financial arena for over forty year and have handled my own investmennts for at least that long. I don't need FINRA to tell me how to invest or limit my access to investments I deem beneficial to myself. At 81 years of age, I am not about to submit to your testting of my abilities.
Give it a rest!!
Me- not regulators should be able to choose the public investments that are right for me and my family.Public investments should be available to all public not just the priviledged. I shouldnt have to go through any special process like passing a test to invest in public securities. I am capable of making inverse and leveraged funds and their risk.
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.