I definitely do not want FINRA to make any changes to Proposed Rule #22-08. Public traded funds need to remain public. This almost reminds me that I may not be ELITE enough to participate in what has always been available to the public. The thought of being tested to see if I know enough about these funds is ludicrous. I don't believe that FINRA should be awarded this kind of control over
The Municipal Trades Below Minimum Denomination Report displays statistics about transactions your firm effected with customers where the denomination was below the minimum denomination provided to DTCC’s New Issue Information Dissemination Service (NIIDS) and/or reference data obtained from Thomson Reuters. This report is designed to aid firms in monitoring their compliance
The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I should be able to choose the public investments that are right for me and my family, including the leveraged and inverse funds. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities like leveraged and inverse funds. I am capable of
I want to relay my concerns about the referenced regulatory notice.
I do not believe any incremental regulatory requirements should be placed on leveraged investment instruments. I disagree with the notion of testing, thresholds, net worth requirements and so on. These are public instruments that should be made available to all. Firms selling these products are quite clear communicating the
To Whom It May Concern,
Me 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 shouldn't have to go through any special process
like passing a test before I can invest in public securities,
like leveraged and inverse funds.
I am
I want to see LESS regulation on investing, not more. I should have public investments available to me. I have great credit and don't want to be tested before using a leveraged account. I understand the risks and so does everybody else. Make an easy to read disclaimer to solve the issue. I'm very upset to hear that the government is trying to control my ability to make
With respect, 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. I shouldn't have to go through any special process like passing a test before I can invest in public securities like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds
The investment industry is over regulated as it is. I can make my own decision about when and how to invest. I don't need the government's help!
I have a BS in Finance and an MBA. I don't need to take any more tests just because you, the government thinks I do.
Inverse funds are important for my investment strategies. I use them as a hedge during times of potential
I appreciate FINRA's concerns regarding investor protection. At the same time, I wholeheartedly disagree with FINRA's NtM 22-08 proposal to - "Require investors to pass a test to trade a complex product and potentially undergo re-testing from time to time to ensure the investors continued understanding." I've traded leveraged ETFs for many years and
