SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
I strongly oppose your these unnecessary regulations on inverse and leveraged etf's. Today's investors are very well informed of these and similar investment vehicles and we do not need your meddling in our choices!
You should be looking into ways to better regulate news driven, high speed algorithmic trading where computers key in on pre programed key phrases and can spike or
I was made aware this morning of a potential change of policy regarding leveraged and inverse funds access. I am highly disappointed to hear this as I currently utilize both leveraged and inverse funds as part of my investing strategy, especially useful to me in this challenging market.
I don't understand what the back story is on why the FINRA is considering limitation or why this is
I understand that regulators are interested in restricting my ability to invest in certain investments.
With the plethora of information on the internet and other places, I firmly respect an individual's right and responsibility to invest as one feels appropriate for their needs.
I have, and am using leveraged and inverse funds as a way to hedge against wild market swings - such as we
I understand that regulators are interested in restricting my ability to invest in certain investments.
With the plethora of information on the internet and other places, I firmly respect an individual's right and responsibility to invest as one feels appropriate for their needs.
I have, and am using leveraged and inverse funds as a way to hedge against wild market swings - such as we
Comments:
Leveraged and Inverse funds provide me with a unique capability to both hedge market risks and provide a balanced portfolio. As an individual investor, I understand the risks associated with these and other products.
The market is currently stacked against a small investor because the entry is regulated by experience and wealth (not behavior). For example, the day trade rule takes a
Rather than imposing arbitrary restrictions or adding more silly click-thrus, how about a focus on making education and training available, giving retail investors and traders the SAME information that institutional investors see. Perhaps the reason retail traders lost money on some of these things is because institutional investors have an artificial advantage created by current rules, and not
ProShares, a purveyor of leveraged ETFs among other "complex products", is canvassing its shareholders to submit public comments here. I am one such shareholder, but personally I'm glad that FINRA is helping to protect investors from the pitfalls of complex products, which, as the notice rightly states, can be dangerous to the uninformed. Increasing the barrier of entry to these
FINRA should not impede retail traders. FINRA should instead regulate institutions to prevent them from taking too large positions all on one side as seen with so called "meme stocks". Institutions all have the same information, they all bet on the same side of futures and create volatility far in excess of their ability to cover positions. Through this practice of
I understand that FINRA is considering putting additional restrictions and / or eliminating a whole range of ETF products. This greatly concerns me.
From the list of products that are under consideration, I frequently use some of them, and currently have positions using these ETF's. I do strategically use some leveraged funds, but the funds that I am particularly concerned about are the
