A person who would like to invest money they have earned should be able to invest in any way they see fit, without the need to take special tests or courses, or have additional imposed restrictions based on net worth or any other financial regulation that limits how or where they choose to invest their money.
This is outrageous. Individuals should be allowed the same instruments as the privileged few. I should be able to choose the investments that are right for me and m family.I am capable of understanding leveraged and inverse funds and their risk. I do not need to pass a "test" to invest in these instruments. I am currently using a inverse fund and it is helping to protect (hedge
Leveraged and Inverse funds are important investment strategies to head against. Such investments should be available to the general public like me who are not privileged - we don't need tests to understand leveraged / inverse funds and the risks they entail. Do not make regulations that only benefit the super rich - give equal opportunity to everyone.
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 public, not just the privileged.
I am capable of understanding leveraged and inverse funds and their risks. Regulators you do not need impose measures like passing a test to invest in these products imposed on me
I object to the proposed restrictions. Special tests and selective criteria is another attempt by FINRA and the SEC to discriminate against small investors under guise of market manipulation prevention. Your targeted investors are adult and should have the freedom to make their own investment decisions. I use inverse funds to hedge against market decreases.
I support this. FINRA's below requirements are reasonable in the given format: Pass a regulator-imposed test of your specialized investment knowledge Demonstrate a high net worth Get special approval from your broker Attest to reading certain materials Go through cooling off periods during which you cant invest
I believe its governments business to stay out of my business. People who know how to invest should not be hampered with. I oppose FINRAs authority to regulate my investment decisions. I've invested in public securities in the past and don't believe I have to go through a process or test to be approved to invest or day trade.
(a) The term "Browse" shall mean the function that permits a Participant to review (or query) for trades in the System identifying the Participant as a party to the transaction, subject to the specific uses contained in the System Users Guide.
(b) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley DW Inc. (now known as Morgan Stanley & Co. Incorporated) $1.5 million and ordered the firm to pay more than $4.6 million in restitution for rule violations relating to the sale of corporate bonds to retail customers at excessive prices. The firm was cited for charging
Dear Sir or Madam,
I am sending this email in support of retaining the right and ability to invest in leveraged and inverse funds.
No one should enforce limitations to our trading capabilities in such ETFs. I should not be submitted to any testing or financial stratification before I am able to proceed with such trades.
Please update me regarding the progress of this issue.
