Yes I want to trade what I want when I want . I have read the risk and I weighed the risk. Please let me handle my own transactions
Please do not limit my options trading. I understand the risks involved and should be allowed to make the decision on how much risk I am willing to accept.
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceRegistrationTraining
Executive Summary
The Board of Governors, acting on the recommendation of a special Ad Hoc Committee, is clarifying the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to the investment advisory activities of registered representatives. This Notice describes those
Leveraged ETFs are important to my investment strategy and I fully understand the risk and mechanics behind them. The risks should be understood by investors but not strict guidelines on usage.
Dear Sir,
I should be able to choose the investment vehicle after careful analysis of the risks involved. I am capable of understanding the risks.
Sincerely,
Martin Schechter
Comments:Please don't make risk choices for me regarding what instruments I choose to purchase. My entrepreneurial risks must be my own in this free economy.
As prepared for delivery
Thank you, Drew [Bowden] for that introduction, and thanks also to IRI for the invitation to speak here today. It’s my pleasure to update you on what we are doing and thinking about at FINRA.
I don’t need to tell anyone in this room how rapidly the legislative and regulatory environment is changing and evolving. We are all seeing it and living it every day. But, many of
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST.
I use part of my gain to buy leveraged ETF as a hedge to my investments.
I understand the risk involved in it.
but without leveraged etf, my whole portfolio is at higher risk.
There is risk no matter what you buy in open markets. It is the investors responsibility to know his or her risks, not any governing board or government agency.
Leveraged and inverse funds can be a useful investment tool for those that understand the risks. It should not be up to the government to decide who is capable of taking these risks and who isn't.