I should be able to decide where to invest my hard earned money. The stock is owned by stockholders - not the government. Regulation will just keep those who have lots of money and big business in control of the market while keeping the larger public out of being able to invest where we want to. I already have no income from the company I retired from (not like the good old days) and I use my
I oppose the proposed rule changes from FINRA that may prevent or restrict investors from buying a broad range of public securities designated as complex products.
I believe that while consumer protection is key, the overarching trend of the past 20 years has been towards greater consumer choice in their investment options. Although this has at times led to deviations from what one may argue is
The tools of an investor to offset risk through the use of some of the inverse or short funds could substantially impact their ability to mitigate losses. Investors need to understand the risks involved in EVERY product, including publicly traded stocks. ALL investments carry risk, every single one. The Boards ability to define who is knowledgeable or not is overstepping their scope of regulation
I am a private investor with over 30 years of investing experience. My portfolio consists of individual companies, ETFs of various sorts and mutual funds providing a comfortable level diversity. I understand the need for investors with limited experience not to have access to leveraged funds as well as option training without some level of training so they understand the associated risks. I would
I am, in general, opposed to the need for additional barriers of entry to use leveraged and inverse funds. The existing regulations require stockbrokers to monitor age and balances of accounts, and already quiz traders on their experience using such investment tools. There is always a risk no matter what the investment, and there's no real difference between leveraged/inverse funds and
Although it might be good intention to enforce more rules and regulation for leveraged and inverse ETFs. The enforcement could create unfair conditions for investors. Leveraged and inverse ETFs might have their own unique characteristics. But once put on the market and traded freely by market participants, the market force will help regulate behaviors of investors. All investments have risk. And
I OPPOSE any regulation related to the restrictions proposed. I reserve the right to invest as I see fit based on my free will and ability to suceed or fail with my investment strategy. My investment strategy may include leveraged ETFs, and any other instruments that involve risk.
I dont want testing or any other qualifications imposed on me to be able to invest in what I desire.
I have been
I oppose your attempts to restrict my ability to chose my own investments. Publicly traded investments should be available to all of the public, not just a select privileged few and large institutions.
Leveraged funds and inverse funds are, if used correctly, be a powerful tool to add to a portfolio. I use them as a small portion of my investments. I understand and accept the risks involved
I understand that regulations being considered by FINRA might impact my ability to invest in leveraged funds or place an unnecessary burden on being able to do so. I have been managing my portfolio for only a few years now and am on a fast learning curve. Investing in a triple leveraged index fund was not such a hard decision and I put less than 5% of my total wealth in it. I've made
(a) Each member organization, shall promptly give to the Exchange notice in writing on such form as may be required by the Exchange (1) on Form U-5, of the death, retirement, or other termination of any party required to be approved under the Rules of the Exchange, (2) of the dissolution of the member organization.
(b) In addition, in the case of a member corporation, such member corporation
