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As a small private investor, I am well aware of risks associated with the various vehicles available on the markets, including inverse funds and leveraged funds. While not core, these are tools that sometimes make sense, and they should not be placed behind barriers that inhibit or even prohibit my access to them. I do not require and do not welcome regulations that block my ability to implement
To Whom it is concerned.
I oppose any further restrictions on leveraged, inverse, volatility, foreign market, or other non-traditional investment ETF, mutual fund or similar investment vehicles. As a private investor, I have the ability to read the currently required prospectuses and investment disclosures for public investments. I do not need hand holding or further government intervention or
This act is another form of financial oppression. The motives for why these ETF's are having access revoked is because the retail investor/general public can make too much money in eyes of the financial industry. They are not revoking access to protect us, the retail investors. They are revoking access to protect themselves, the financial institutions, from losing too much to retail
1423 Leslie Avenue Alexandria, VA 22301 August 7, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington DC 20006-1506 RE: Rule 5110 and Regulatory Notice 23-09 Dear Ms. Mitchell: Thank you for the opportunity to comment on FINRA rules impacting capital formation. CrowdCheck, together with its affiliated law firm, CrowdCheck Law, was formed for the
Reserved MPID
Bank Name
Treasury (TS)
Agency Debt (CA) & Agency MBS (SP)
BACP
Bank of America, N.A. (Private Bank)
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x
BACT
Bank of America, N.A. (Corporate Treasury)
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x
BAGM
Bank of America, N.A.
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x
BMCH
Bank of Montreal, Chicago Branch
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BNYB
Bank of New York Mellon
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BNSA
Bank of Nova Scotia
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BOKC
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public.
FINRA has seen a recent significant spike in investor complaints resulting from recommendations made by fraudulent “investment groups” promoted through social media channels. Complaints describe bad actors, posing as registered investment advisers, who advertise “stock investment groups” on Instagram and other social media channels and then turn to encrypted group chats on WhatsApp to communicate with interested investors and pitch investments.
I am THE only person that should be able to choose investments that are right for me and my family. I do not want or need YOUR decisions imposed on me. I use leveraged and inverse funds to help me protect my investments or enhance my returns depending on market conditions. Restricting me to do so while allowing so called "professionals" to use the same techniques is abhorrent
Ladies and Gentlemen,
As a retired RIA and portfolio manager who spent more than 25 years managing assets and advising private clients, I object to FINRA's Notice #22-08 proposing to limit access to leveraged and inverse ETFs. While there will always be a handful of novice and unsophisticated clients who may harm themselves by trading financial instruments they don't fully
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