The types of investments that could potentially be impacted by SEC Proposed Rule #S7-24-15 is lengthy and diverse, including Leveraged and Inverse Funds, and can legitimately be incorporated as part of a comprehensive investment strategy. These are publicly traded instruments and I am an experienced, educated, and informed investor. I should NOT need to jump through additional hoops to be "
I want to firmly protest the proposed restrictions on inverse trading being considered. Concise cautions for inverse funds are appropriate as is regulatory oversight to prevent fraud in their operation as should be applied to all financial instruments. In my dealings regarding inverse funds precautions are already supplied by the funds themselves and the brokerages like Charles Schwab that
Hello, I oppose restrictions to my right to invest. Regulators should not be able to restrict the public from investing. We investors are making informed and educated decisions based on market factors and the economy. It is rude to assume regular investors are not 'smart' enough to make their own decisions. It would be fundamentally un-American in all that is business to impose these
Dear Sirs and Madams: As a former managing director of a broker dealer I can tell you with certainty that regulations for leveraged and inverse ETFs are long past due. Although I have over 45 years of investment experience I was also ill informed about their characteristics and basically lost all of the money in my IRA which I luckily could afford. Now that I understand them I am profiting
I OPPOSE restrictions on the right to invest. In particular: All investors not regulators should be able to choose the public investments that fit their circumstances. Public investments need to be available to the public, not just those investors considered acceptable by regulators. Investors should not be vetted by regulators--through the passing of a test or other means--before being allowed
I would think some retail investors would take offense to the way this article was written. In reality we are well educated well informed individuals that no longer believe we should just do things the way they have always been done. We invest in good companies thats only downfall is the market structure dark pools and market makers. Its not that we need to be educated, the agencys need to end
The 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, regulatory operations programs).
I apologize for the undoubtedly large number of submissions you are likely receiving from those simply looking to vent rather than actually comment on the specific matters in this notice. The scope of volume seen in trading is absolutely daunting, and I think the first question that should be asked regarding any information being collected is whether it is purely self-reported, or if there is
These rules changes seem to be helpful except for the "alternatively" found all over the place. Make all these rules in effect, no alternatives. FINRA should get all the information possible about any financial activity and make as much as possible of that information public. The originator of a short position should be on the hook for the short position. Currently, if a market maker
Hello, I wholeheartedly support FINRA's step toward a vastly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would be
