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Hello,
As someone who has used leveraged ETFs quite successfully over many years I absolutely do not support any additional regulations or restrictions on individual investors using leverage, futures, options, or any other manner of "complex" instruments as part of a self-directed investment strategy.
I actively researched and educated myself on these financial instruments
Dear FINRA Regulators:
I use Public Investments as a tool to build my financial future and that of my family. As an investor I want to have all options available to me and they should be available to others too, at any time, with no restrictions whatsoever. I want to have the right to choose freely what Public Investments to use in my portafolio and assume full responsibility for my investment
FINRA,
I am strongly opposed to regulations being considered to limit the ability of the public to invest in leveraged and inverse funds without such things as passing tests on investment knowledge, demonstrating high net worth, getting approval from a broker, attesting to reading certain materials, and going through "cooling off periods" during which one cannot invest.
It is of utmost importance that people have the full freedom to deploy their money into whatever they want without major obstructions.
As it is, to protect investors, ETFs already have disclaimers, which spell out the risks. In addition, some broker accounts won't even let investors buy some ETFs or penny stocks unless the risk profile is set to be "aggressive".
When
The Neutral Corner - Volume 3—2022
Dear FINRA Committee Members, Please do not impose trading restrictions on “Complex Products.” I am a retired public employee who has been investing for over 25 years, managing a ROTH account, 457 plan account, as well as a retail account. I sometimes use ETFs, including inverse and leveraged. They are an integral part of my investing toolbox. I am not a high net worth individual and desire to
Summary
FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The protection of senior investors is a top priority for FINRA. As such, FINRA is interested in whether additional tools, guidance or changes to FINRA rules or administrative processes are
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
The Neutral Corner—Volume 2, 2020
Mission Statement
FINRA Arbitrators Successfully Conduct Virtual Hearings (by Nora Sassounian, Case Administrator, FINRA West Regional Office)
Anatomy of a Zoom Videoconference Mediation (by E. Scott Douglas, FINRA Mediator)
FINRA Dispute Resolution Services and FINRA News
Name Change to FINRA Dispute Resolution Services
COVID-19 Hearing Postponements and
WASHINGTON – FINRA announced today that Michael Rufino will leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA’s Sales Practice Examination, Risk Monitoring and Membership Application Programs in