ATS Supervision Obligations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 2020
FINRA Rule 3110
FINRA Rule 4370
FINRA Rule 5210
FINRA Rule 6190
FINRA Rule 6191
Regulatory Notice 14-10
Regulatory Notice 17-22
SEA Rule 15c3-5
Dear FINRA Regulators,
I would like to oppose the restrictions on certain investments deemed as "Complex". As part of my investment strategy I would like to continue to invest in public securities such as leveraged and inverse funds without going through any special process. These investments are important for my future financial goals.
I use systematic investment strategies to
You have no right to take away inverse etfs..It is the investors responsibility to learn how to make their financial decisions. Hmm.. seems to be ok for the government to always make the regulations to benefit them and not the individual. These etfs provide an investor utilize trades in both directions.Are you going to start regulating buying cars and houses too? Hmmm many people get screwed
I am strongly opposed to the FINRA's misguided proposed regulations. This absolutely irresponsible regulation would clearly hurt investors by denying me the ability to choose investments that could help me and my family achieve long term financial security. It would also upend our regulatory system by giving regulators the right to decide what public securities that I can invest in and
As a good father would not neglect nor punish the reservations and protective nature of his childs small, worthless, yet invaluable collection of odd, incongruent, and disassociated toysneither should a person in financial authority govern over those with less money, less experience, less intelligence, or be given the power to reign over them with unwelcome, hostile regulation and impingement
As a stay-at-home mom, I use certain leveraged funds (like UPRO and TQQQ) to enhance my portfolio and contribute to the financial needs of my family, all while being able to spend time with and raise my children. These are only a portion of our overall portfolio. I have done the research and feel that I am capable of making all the investment decisions for my family and should not be subjected to
Why would my public investment choices need regulated? Public investments should be available to all the public, without qualification or privilege. A test to purchase a PUBLIC security? Really? That's ridiculous and sounds like government heavy handed tactics to favor the rich. I don't need to take a test to be able to make my own choices for public investments!!
I oppose the regulations being considered by the Financial Industry Regulatory Authority (FINRA) that will restrict my right to invest. I should be the one to decide where and how to invest my money, not a regulator. Public investments must be available to all, and these proposed regulations discriminate against the less privileged.
I am fully capable of understanding the risks inherent in not
I am a self-directed and self-educated investor who got a late start building wealth due to many years of school. The use of leveraged ETFs has helped me and my family to build significant wealth, especially coming out of the pandemic, and has helped me become closer to financial security. It is no understatement to say that leveraged ETFs have taken a huge burden off my shoulders. I am aware
I am a private investor with over 30 years of investing experience. My portfolio consists of individual companies, ETFs of various sorts and mutual funds providing a comfortable level diversity. I understand the need for investors with limited experience not to have access to leveraged funds as well as option training without some level of training so they understand the associated risks. I would
