I oppose any regulations by FINRA that would restrict my ability to invest in leveraged or inverse funds or any other public securities. Private investors are expected to understand that all investments involve risk. Perhaps a disclaimer should be required by all brokers that investing in certain types of funds will expose the investor to more risk than usual.
Dear FINRA, 5-6-22
I am a private investor who has been investing in the markets for the last 40 years, and have been successful using inverse funds, to include SH, PSQ, DOG to hedge against volatility, and frequent downturns in the markets. I do not think any regulator will be able to know more than I do about my own families personal financial situation. Passing a test first, seems
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
With over 50 years experience in the Stock, Bond, Private Equity and real estate businesses I am fully understanding of the risks and uses of inverse ETF's. Please do not restrict their use.
I don't want to be parented by a government agency that wants to take away investor's rights and destroy a free market system wherein investor's determine their own suitability and investment goals. The proposed changes are an invasion into investor's private affairs. I very well can read a prospectus and decide for myself without any further governmental
The following frequently asked questions (FAQs) provide guidance on FINRA Rule 2111 (Suitability). This document consolidates the questions and answers in Regulatory Notices 12-55, 12-25 and 11-25, organized by topic.
Data field
Definition
Why we share this data
Convertible
Used to indicate if the bond is convertible. A convertible bond is a corporate debt security that can be converted into equity at specific times during the bond's lifcycle usually at the discretion of the bondholder.
So that investors understand the nature of the bond.
Coupon Rate
A coupon rate is the annual
On October 23, 2023, FINRA announced the Regional Committee election. Firms in Districts with contested elections (Districts 2, 3, 4, 6, 7, 8, 9 and 10) will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected Regional Committee members will take
Private investors understand the risk. My question is why are you proposing this?. I dont see a public outcry of investors saying they were uninformed. Youre claiming a need to put out the smoke when there is no fire that started it.
Additional Guidance on FINRA’s New Suitability Rule