I oppose restrictions on the public to make the investments that are right for me and my family. The right to do so should not be restricted to only the privileged few. No tests should be required, although companies may test or restrict based on tests as is commonly done today. Making sure people are educated about the risks they are taking is important, but should not be up to regulators.
I feel I should be able to choose the public investments that are right for my family and I. All public investments should be available to all of the public, not just the privileged or 1%. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I'm capable of understanding leveraged and inverse
You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. Please don't make the investment landscape more difficult by imposing unnecessary restrictions. Inverse funds are one of the few ways to have a strategy that
I am a disabled individual who has managed to support myself and my daughter for the last 5 years by trading stocks. During that time my net worth has never exceeded $150,000. THIS WOULD NOT HAVE BEEN POSSIBLE WITHOUT TRADING LEVERAGED ETFs ! My brokerage (Fidelity) Required that I read and acknowledge a very stringent warning about the risks before allowing me to trade these securities, and
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Explain that you are capable of understanding
Summary
FINRA360 is an effort through which FINRA is conducting a comprehensive self-evaluation and organizational improvement initiative to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant capital markets. In March 2017, as part of the FINRA360
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Although I understand to some degree the desire to prevent people from suffering considerable financial losses, I believe this is a wrong approach. Our representatives should not be using legislation to parent the general population as in the "nanny state". It is my choice to invest in riskier investments. At most, if a person interested in buying riskier investments such as
Public GovernorVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank GroupGovernor Since 2019Committees: Executive Committee, Regulatory Oversight Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called "Gold" Stocks-Some Investments Mine Your Pocketbook to warn investors about investment scams that promote gold stocks and to provide information on how to invest in legitimate gold investments.