Leveraged investments are a key part of my investment strategies. Especially leveraged ETFs are a critical component of hedging risk to manage risk adjusted returns in my portfolios. There are no other effective hedges available for small investors. I have a clear understanding of the volatility and of the risks.
I'm actually more surprised the governments doesn't propose
As an educated & well-researched "retail" investor, I find this legislation incredibly insulting. The condescending essence of the idea that I am not capable of understanding the risks of leveraged and inverse ETFs is disgusting. Such ETFs have allowed me to outperform the major indexes through the bear market we are currently going through, and without access to them retail
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Albany, New York-based Purshe Kaplan Sterling Investments (PKS) will pay nearly $3.4 million in restitution to a Native American tribe, after the tribe paid excessive sales charges on purchases of non-traded Real Estate Investment Trusts (REITs) and Business Development Companies (BDCs). In addition to ordering
I oppose restrictions on my right to invest in public investments.
By creating restrictions to these investments, only the priviledged will be able to choose these investments. This is comletely unfair.
I have used leverage and inverse funds for probably at least a decade and they play a role in my investments strategies. I understand the risks involved, and these investments have been a
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST!!!
Individual investors should have access to all public investment vehicles without regulators dictating which are appropriate/inappropriate. Rather, regulations should focus on transparency and full disclosure of the strategies employed by fund managers and most of these regulations already exist. Rather than rely on regulatory intervention,
I'm a 26 year industry veteran with over a decade on the retail side, over a decade on the institutional side w/corp fin, syndicate, corporate buyback experience - we literally wrote the 10b-5-1 plans with out attorneys back before they became popular.
I literally left the confines of traditional Wall Street for their inability to manage risk and the handcuffs they strap on advisors in
I am a Chartered Financial Analyst (CFA) holder with more than ten years of investment experience. I'm capable to manage the investment risk in my own portfolio. I do not need the regulators to choose the investments that is right for me. I have my own investment strategies that matches my risk tolerance. Leveraged funds are important to my strategies. They help me hedge my
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General Counsel, The Nasdaq Stock
To whom it may concern,
Inverse funds have become one of the few way that I can protect myself from a move to the downside in the financial markets. Ive been in the market for the last 3 decades. Ive experienced several dramatic market sell offs during that time. I understand there is significant risk involved with investment in financial instruments. Risk is involved in every aspect of my life.
I made the choice to invest in leverage ETFs like TQQQ. I fully understand the risk of this type of investment and would like to till have the choice to invest in it for years. Investing in this type of security is in my investment strategy for the long term and would not like for this ability to be removed or have to prove that I am serious about investing in TQQQ. I understand why the