I oppose restrictions to investing in leveraged ETF's for individual investors. WE all get the information regarding risks to investing in these funds and as such should be permitted to buy, sell and hold these as we see fit based on our personal financial goals and needs. It is not democratically fair to restrict these funds to large investment firms, which would force individual
I'm writing to express my opposition to restrictions inhibiting my ability to invest in public investments.
I'm an informed and experienced investor. I have gaind my knowledge through study and experience in the markets. I understand leveraged and inverse funds and the though of restrictions and the possibility of having to navigate a special process (test taking) is
Please DO NOT remove any of my current investment options, including leveraged ETFs. Many consumers are preeminently qualified to understand and consider all types of investments. Currently there are safeguards in place to make sure people are able to make decisions about certain types of investments. In my case I am Series 6, 7, 63, and 65 licensed and fully understand the risks of leveraged
I strongly oppose this measure. People must have the right to freely trade investment products at their own risk and based on their own research. If an individual decides to blindly accept a financial institution/advisor's trading recommendations then that individual could lose significant amounts of money regardless of whether or not leveraged or inverse exchange-traded products are
All reports should be consolidated for all markets in one location where it is easily accessible to all investors. FTDs should be reported daily and should be required to be cleared within a a T3 timeline without exception. Short positions and changes to those positions should be reported daily and that information should be made available to all investors no later than the next business day
Although I am opposed to restriction of access to complex investments for anyone, I fully support efforts to ensure that consumers are provided full disclosure in layman's/non-financial-professional terms about the complexities and risks that may effect their investing and investments. Many reputable major brokerages seem to do a decent job of providing investor classification and risk-
TLDR. I got an idea, instead of pretending the stock market is not a casino under house rules FINRA should explain the house rules in a 1 page document that everyone can read. The rules should include which parties can naked short sale with ridiculous margin on which stocks, which stocks will permanently cyclically fail to deliver and why, and why the DTCC has an obligation warehouse that the
First of all, thank you for letting me know about this. I know enough about leveraged and inverse funds and am constantly dealing with their risks. And I am constantly striving to acquire for a lot of knowledge and information. Therefore, I oppose any restrictions or other testing measures on my investment rights. Currently, the leveraged stocks I focus on invest in because they are made up of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are
It feels like all these additional hurdles and restrictions are being considered to benefit the larger hedge funds and money managers and restrict individual investors from access. I have always been able to choose the type of investments that are right for me and my family, I understand the risks as well as benefits to investing. I am an adult and would like to continue the freedom of choice in
