Hello! I am relatively new in my career(just graduated with a degree in Computer Science) and finally have an income of my own to invest. I'm what you would call a self taught investor. Investing has always been my true passion. One of the great things about this time we live in is our ability to learn just about anything thanks to the internet. The individual should be able to choose
Dear Regulatory Personnel(s),
First, thank you for taking the time to read through my concerns about the potential harmful changes that would strike at the core of small to mid-size investors. In our vastly changing world, the small-time investor is continually being squeezed out and further separated from the high wealth class, entities with super computers, and market manipulation. It&#
I do not agree with the regulations that are being propose for Leverage or inverse ETFs. They are an investment tool that have produce great results for me and my family. This regulations could hurt my ability to make money with these tools. I, 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 of the
I strongly oppose restrictions on my right to invest in public investments such as leveraged and inverse funds. I use these funds as a hedge to help diversify and protect my other investments. Im concerned that government intervention in these financial instruments will destroy their ability to provide safety and protection to my investment portfolio.
Investing can be very dangerous. Investing
This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
Hello,
My name is Christopher Francis Lewis Patterson. I am an non-traditional, first generation undergraduate Business Information Systems Major communicating to you in the midst of finals at CSUDH Dominguez Hills in Carson, California. There’s a lot of other details about me that you may find interesting relating to my upcoming dialogue, but that’s not what this comment is about.
I would like
FINRA’s Risk Monitoring and Examination Programs evaluate member firms for compliance with relevant obligations and consider specific risks relating to each firm, including those relating to a firm’s business model, supervisory control system and prior exam findings, among other considerations. While the topics addressed in this Report are selected for their interest to the largest number of
What makes are American economy and stock market great is the ability to choose how we invest our time, talent, and of course money. For many the idea of growing assets through investments is a beautiful mechanism and the reason we wake up ready for work every morning. I love the financial industry and have worked in it for many years. When working with clients, I always try to follow the rules
To whom it may concern.
I am writing to express my shock and concern over the direction FIRNA believes it is necessary to move in as outline by Regulatory Notice 22-08. The entire notice is written with a thinly veiled tone of condescension towards retail investors and how they cannot possibly have the knowledge or sophistication to understand what they are investing in; a common refrain from
I write to you in strong opposition to the proposed rule changes to which this public comment refers. I understand and applaud FINRA's desire to protect consumers - however I must insist you find a different way to do it. Simply restricting my access as an individual investor to a broad range of investments doesn't serve to protect me - it serves to drive my investing into