Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2022 FINRA Board of Governors Meeting.
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
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.
I would like to express my SUPPORT for additional regulation of trading leveraged and inverse funds. I use leveraged ETFs quite heavily in my own financial planning, and I don't see any reason not to require investors to pass a simple test to use these products. They are a great tool for hedging, but they can be very riskyand I believe some measures should be taken to make sure that they
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
I don't not want my investment in leveraged S&P 500 and NASDAQ 100 index ETFs to have any more regulation than is presently in place. I feel content and confident in my investment planning with these products in my portfolio. Using the leveraged products allows me to keep more money in my CASH AND US BOND part of my portfolio to add security to my income while still achieving my
Please do not add more hurtles to investing in inverse ETFs and leveraged ETFs.
Ive used several ProShares leveraged inverse/ short ETFs to act as over night insurance for my bond and equity funds, i.e to reduce loss when fear is roiling the markets. I am in my late 50s, I also trade long ETFs where I hold for brief periods to improve my overall return. I consider both long and short, leveraged
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
