SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 19, 1991, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,673:
Symbol
Company
Entry Date
SOES Execution Level
HDVS
H.D. Vest, Inc.
11/25/91
1000
HDVSW
H.D. Vest, Inc. (CIA
Hi,
I have used Leverage funds for many years and it is an important part of my investment strategy. I understand the risks of the leveraged fund and prefer that strategy over options and margin purchases. This is clearly not a concern of regulators as it poses no threat to the overall stability of the world financial system and frankly is an overreach into what investors can use. Thus i
Comments: The education around the risks of these products has been openly communicated to me and other investors. Investing in any of these products is the sole risk of the investor. Many want to stay away from them. For me, it provides a great opportunity for my investment goals. These products cater to a unique need in the market and preventing anyone with those investment goals from accessing
These comments are in regard to FINRA's Regulatory Notice 22-08 request for comments.
I am a non-professional, active investor who monitors and manages my personal portfolio every day. As such, it is important to allow active investors like myself to make their own determination of what products to use at what time to achieve their financial goals. Individual investors, not regulatory
I understand that you are thinking of restricting my right to invest in certain public investments ("complex products"). Please stop trying to regulate everything!
These investments (such as leveraged funds) should be available to everyone, no matter one's income; and passing a test to prove I understand them should not be necessary.
It is one thing to fine a financial
I am a modest net worth investor but am familiar with so-called hedge funds.
I have used such funds to provide some hedging to my investment portfolio and consider them a key part of my financial planning.
A policy that tries to eliminate risk from investment decisions is doomed to failure and will, inevitably, create negative consequences.
I oppose restrictions to my right to make my own
I have been trading in inverse funds for many years. They are an important part of my portfolio. They can counter the downturns and bring a sense of balance to the financial markets. They reflect the TRUTH of poorly performing entities. Unfortunately, corporate buy backs and short squeezes are the real villains affecting true market valuations, not leveraged and inverse funds. It would be a
I understand per the FINRA Reg Notice #22-08 I may not be able to buy leveraged and inverse funds and dozens of other popular investments deemed to be complex. Please reconsider this negative stance. My broker/financial expert has my permission to make investment decisions, including into leveraged and inverse funds. He is knowledgeable and very capable of making financial decisions for me. That
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
Comments:
Dear FINRA, please do not begin gatekeeping access to complex financial instruments based on an assessment or net worth basis. This jeopardizes personal freedom and creates artificial and unnecessary barriers in the market for individual investors to participate. This compromises liquidity, price finding, and is an infringement of liberty.
A focus on risk disclosure and awareness is
