I am opposed to the limitations the FINRA is contemplating imposing on right to choose who I invest with and what I invest in.
I am also against FINRA, a Not-for-Profit organization regulating my right to invest with whom ever I want to and in what I invest in and to have me go through any special process and testing I might have to take before investing is unconscionable.
Most investors are not
Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a
May 2010 Supplement to the Options Disclosure Document
Dear FINRA, I am a former mutual fund manager and current private investor who has utilized many types of ETFs over the years to achieve my investment strategies. I find the leveraged ETFs to be very valuable and straight-forward and do not see the need for restrictions or further regulation. In my mind, the proposed regulations would add undue burden on investors and be a waste of taxpayer money
Note: Only sessions with an asterisk (*) are being live-streamed and recorded for future viewing. Virtual participants will only have access to these marked sessions. Agenda is subject to change.Wednesday, September 255:00 p.m. – 7:00 p.m.Registration & InformationKick Off Reception With ExhibitorsOffice Hours Thursday, September 267:30 a.m. – 5:30 p.m.Registration &
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
HI, I have been a private investor for over 30 years starting when I was in the 6th grade. I am a huge proponent of freedom and self-education. I believe that the general public should have a right to invest in the same funds as the privileged without having any required tests or special processes which only serve as roadblocks to wealth creation. I am capable of making my own decisions when it
I oppose any effort to restrict access to leveraged or inverse trading tools or ETFs
I am fully capable of educating myself on the risks and I see no value to the government interference in my private investment choices.
leveraged and inverse funds play an important role in my risk management strategies.
leveraged etfs allow me to take properly hedge and balance my trading accounts and my more
I am a proven investor and know the risks associated with all my trades/investments. I believe as a private investor I should be able to choose the public investments I deem best for me, not regulators. I shouldn't have to go through any tests or special processes or have access to "x" amount of money to invest the money I have worked for. This proposed regulation
Comments: As an active private investor I understand the criticality of having access to inverse and leveraged ETFs. These products enable long term, full cycle investors to take advantage of short-term trends across multiple market segments, providing diversification and risk management of my portfolio. I would hope that FINRA allows for an expansion of these types of investing products in the