Leveraged and inverse ETFs offer regular investors a safe way to invest in a wider variety of securities, achieve higher returns and meet financial goals faster. Without these instruments, achieving these returns would require investors to take risky short positions or margin trade, which are much riskier than being able to invest in these funds. My brokerage already has adequate warnings about
Dear FINRA,
I have become aware of the unnecessary regulations planned for restricting my access to invest in leveraged and inverse funds. I have been trading inverse and leveraged ETFs for the last four years without any issues. Adding restrictions will stop me from trading and investing in ETFs as well as many other investors that can profit from changes in the market trends.
ETFs and other
The United States is a free capitalist country where people have freedoms guaranteed by the Constitution. This should reflect from the freedom of investing too--people should have their freedom to choose what and how to invest their money. We save and invest to better our future lives. I diversify in my investments. Leveraged and inverse funds, though by no means of a large portion, are important
Hi, Having the ability to hedge my retirement funds is essential when there is high volatility in a high volatile world. The easiest way to do this is with a leveraged inverse ETF of the SP500 or Nasdaq. The drift risk in a leveraged inverse ETF is a lot les risky compared to options trading or short selling to hedge a portfolio. Options are complicated, expensive and short-term forms of
You plan to prevent or restrict investors from buying a broad range of public securities including the leveraged and inverse funds offered by ProShares. If these regulations are adopted, they could prevent or restrict investors ability to buy the funds. This is ridiculous, my ability to freely invest should not be restricted. I oppose limitations on my ability to buy any kind of Funds. YOU FINRA
I don't think it is right for Regulators to take control of how the public wants to invest in the future of their families, your trying to make the rich get richer once again, middle class people don't have a chance again, when a good thing comes along that's when regulators want to take over, where were you when crypto was just getting started, you didn't believe in it but
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security occurring outside of Normal Market Hours (9:30 a.m.
SummaryFINRA is providing information in this Notice to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including:this year’s training assignments and completion deadline of December 31, 2023;the consequences of not completing required annual training and CE inactive status; andresources available to firms for facilitating
SummaryEffective January 1, 2025, Historical CAT Cost Recovery Assessment 1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers.Questions regarding this Notice may be directed to:Amanda Rath, Associate Director, Finance, at (240) 386-6637 or email; orFaisal Sheikh, Assistant General Counsel, Office of General Counsel
