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High net worth requirements are a horrible restriction to place on leveraged securities. A regulator imposed test , and attesting to reading certain materials is fine because anyone has the capabilities to do this, many individuals have been investing their entire lives and have a plethora of knowledge and would not be able to meet this high net worth requirement. Leverage and inverse securities
*I should be able to choose the public investments that are right for me and my family.
*I shouldn't have to go through any special process like passing a test before I invest in leveraged funds.
*I am capable of understanding leveraged funds and their risks. The risks in today's market are higher than in past years; however, I willing to take those risks as the leveraged funds
This regulation would be used by financial advisors to essentially create a tax on individual investors who want to get exposure to certain financial products directly on their own. Perhaps there should be regulations that explicitly lay out risks of certain investments, but to force individuals to take a test or be licensed to directly buy certain investment products is entirely un American.
It makes NO sense to require testing and other regulatory restrictions on the use of inverse and related funds. I utilize them in hedging activities when risk within the market becomes excessive without the need to sell securities at short-term taxable gain. I have a brain and am perfectly capable of understanding and determining when to use such securities. I do NOT need PERMISSION from ANY
This proposed rule restricting my right to invest as I please seems a clear violation of my right to control and administer my own resources. I try to diversify my investments, for my holdings as a retiree are quite meager and I cannot afford to take big risks. At present I own only one fund involved partially in cryptocurrencies, and regard it as just a normal part of my portfolio. Why would
EBS Submissions Following Implementation of the Option Symbology Initiative
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
SEC Approves Consolidated FINRA Rule Governing Reporting Requirements
SUGGESTED ROUTING*
Internal Audit
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Trading
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As of July 13, 1990, the following 19 issues joined NASDAQ/NMS, bringing the total number of issues to 2,645:
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FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers