These rules seem to place an undue burden on me as an individual investor. I dont believe I should have to pass additional hurdles above and beyond what any other individual has to do. This country is founded on equal opportunity. That includes opportunity for success and failure. Anyone without the knowledge to invest in certain instruments would do so at their own peril. The existing
I do not need a regulator to tell me what I can invest in or not, unless there is clear evidence that there is insufficient market competition, market failure or market inefficiency. I use a portion of leveraged funds to either hedge my overall portfolio, or to enhance my returns, depending on where the market stands at a given time. As an almost-fulltime personal investor, I am well-versed in
Dear Sirs/Madams,
As a retail investor, this is a terrible idea. Brokerages already offer nearly unlimited exposure to leverage with options, futures, futures options, and other products; not to mention 4x margin availability to even relatively small account-holders. Restricting access to some polymorph of accredited investors will only deprive informed retail investors of one of their few hedge
I oppose restrictions to my rights to invest and the rules should apply to all, not just the wealthy or privileged.
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.
Everyone should have equal rights and equal access to ALL investments without restrictions and
Dear FINRA Regulators,
Ive invested in many different leveraged funds that have allowed a relative lower income individual to grow my retirement funds at an accelerated rate that wouldnt be possible without them.
It was a godsend after a tragic accident where I lost my wife and sons girlfriend and was able to invest in funds that allowed me to pay off many medical bills and costs of living that
Regulators need to stop dictating what we as investors can and cannot due. The proposed regulations in rule 22-08 are akin to discriminatory voting test or other suppression tactics which have been used to disenfranchise broad demographic groups. All investments should be open to all. Regulations cannot protect us from ourselves. Restricting certain investments to high-wealth individuals or other
Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
To Whom It May Concern, The proposed regulation, while put forth with genuine intent is not fully appreciating the consequences. Needing to prove knowledge with testing requirements on a relatively basic product is overly cumbersome on an already overwhelmed regulatory body. These investment products afford retail investors an opportunity to participate in a more aggressive strategy to build
If your firm is undergoing a change in organization due to a merger, acquisition, or succession, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider when undergoing such a change.
(a) Composition of PanelsThe arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.(b) Generating Lists(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.(2) The list selection algorithm will exclude arbitrators from the list based upon current conflicts of
