February 28, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision staff to discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerGreg Ruppert, Executive Vice President, Member SupervisionKayte Toczylowski, Vice President,
January 12, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision senior staff to discuss the 2023 Report on FINRA’s Examination and Risk Monitoring Program. Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Vice President, Member Supervision Regulatory Advisor and
I strongly oppose the new regulations being considered by FINRA. As a private citizen I should not be restricted in how I choose to invest. I understand the risks I am taking in certain funds in which I choose to invest. I don't need regulators to "protect me" from myself. Leveraged and inverse funds are a measured and important part of my investment portfolio and I don't need
It has come to my attention that regulators are considering limiting access to leveraged and inverse funds without meeting certain restrictions. While I understand the concerns that regulators may have in wanting to protect the investing public from themselves, I believe regulating this space would be an unwanted and unnecessary intrusion into peoples private investing decisions. One could
To Whom it May Concern,
I am totally opposed to the proposed regulations or any part of them that limit my ability as a small private investor to invest in Exchange Traded Funds. You are throwing away my primary ability to make money in the future. I do not understand your desire to regulate my ability to invest when there are many other investments that have equal or more risk. This is
Regulating my right to invest in public investments in any way is akin to the Jim Crow laws. My gains or losses in leveraged funds is not FINRA's concern. Brokerage houses do an excellent job at warning of the risks involved with investing as well as offering tools and educational resources. Private citizens, regardless of wealth or education, should NOT be impeded in ANY WAY from
I am an adult of an intelligent age and like all things one is able to do when they are of age, choosing my own investments, employing strategies, and, fully understanding and accepting the risks of a diverse spectrum of offerings, I need the regulators to stay out of my private life.
Our governing bodies should look inward and address their own serious problems. Of the people, By the people,
Please do not proceed with SEC Proposed Rule #S7-24-15. I am a long standing private investor and have used leveraged funds to enhance returns on my investment portfolio. I have a good understanding of the risks involved in leveraged and inverse funds, how they can be used to hedge my portfolio or to provide leveraged returns on the underlying securities, and request that you do not restrict my
<p>Further interpretive advice to members concerning the sale of hedge funds.</p>
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.