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To Whom This May Concern,
I have been investing for many years and manage my own retirement planning. I would like to be able to choose what investments I make. The government should not be trying to protect me from my own choices. Everyone should be able to participate in investing as they see fit and to their own risk tolerance level. I do not object to educational info on riskier
I have spent 50 years perfecting my investment process both personally and for clients. I managed to survive and flourish through 8-9 bear markets. I accomplish this by using the most broadest of diversifications including being able to sell short markets. Inverse etfs including leveraged ones are important tools to have in the tool box to accomplish this. they are convenient and in many ways
The Consolidated Audit Trail (CAT) topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
We already sign disclosures at brokerages warning us about the potential dangers of leveraged products. This is a huge slap in the face for retail investors and a ton of unnecessary road blocks for us that would separate us even further from institutional investors. The HUGE detrimental affect this would have on me would be insurmountable. I have leveraged ETF positions that are currently in the
When used in the Capital Acquisition Broker Rules, unless the context otherwise requires:
(a) "Associated person of a capital acquisition broker" or "person associated with a capital acquisition broker"
The term "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" means: (1) a natural person
These rule changes are long overdue - public faith in equity markets represent a vital economic and strategic strength of the US and our position in global finance. There will be specific firms that lobby to oppose these rules for their own selfish near term purposes - but they are ultimately short sighted and against the public interest. Tens of millions of Americans rely on equity markets now
The Consolidated Audit Trail (CAT) section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
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On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments to the NASD® Conduct Rules (Conduct Rules) giving NASD Regulation, Inc. (NASD RegulationSM) expanded sales-practice authority over exempted securities. This Notice
Good morning,
I am writing to discuss the impact that limiting leveraged funds would have on me as a private investor. I, as a private investor, feel confidently that I have the knowledge and experience to make personal decisions of how I invest my own money. I do not feel that it is in the purview of regulators to make determinations as to where and how I am able to use money for long-term and
I'm writing in opposition of the proposed restrictions to the right to invest in leveraged ETFs. Leveraged and inverse funds are important to my investment strategies. I have 20+ years of trading experience and leveraged funds is one strategy I employ as part of my investment plan.
Capital markets in a democratic society should enable its people to choose the public investments that are