My brokerage firm required me to listen to a statement detailing the potential risks for options before I could start trading them. Since options can similarly be used to achieve leverage or inverse returns, I think this is a reasonable requirement for trading in leveraged/inverse funds. At the end of the day, higher expected return comes hand in hand with greater risk. If a given investor isn
Hello,
I feel it is extremely important to write to you regarding restrictions as to what my choices are to invest in. I should be able to choose the public investments that are right for myself and my family and those choices should include a broad spectrum of choices and not be limited by regulation.
Public investments should be available to all of the public, not just the privileged which has
Regulating what I choose to invest in is not the choice of the government or it's regulators. I completely understand the risk of the investments I choose to invest in for my continued growth and wealth in the markets. Public investments should be available to all of the public not just the privileged few. Going through a special process and testing in order to freely invest into the
As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities
For the past decade I have invested a small fraction of my portfolio (between 1 and 4%) in leveraged mutual funds and ETFs. I realize that these are quite risky and that rebalancing is required. But a careful investor who is mathematically inclined is capable of handling them. The people you propose to prohibit from trading leverages funds are exactly those who should be able to continue doing
(a) General
A member designated as a Restricted Firm shall be required, except as provided in paragraphs (e) and (f) of this Rule, to establish a Restricted Deposit Account and deposit in that account cash or qualified securities with an aggregate value that is not less than the member's Restricted Deposit Requirement, and shall be subject to such conditions or restrictions on the member
I'm 10-15 years from retirement as a senior business systems analyst for over 25 years, with an M.B.A. and B.S. Psychology (thus, understand stats, metrics, patterns, cause & effect), who's spent the past 5 years studying financial markets and investing research, primarily so that I can retire sooner or better, but also to better understand economics, markets and business.
I am a small-account retail trader who frequently makes use of things like index and stock options and leveraged ETFs, and my comments are made from that admittedly limited perspective. A couple points.
1) Capital requirements are undemocratic and unjustifiable. Despite FINRA's attempts to close as many doors to the small retail trader as possible, trading remains a means to financial
Hi there,
I am writing in severe opposition to Regulatory Notice #22-08 which explores the possibility of a number of limitations and regulations on the common investor. This regulation is absurd and I am completely against it!
First, it is my right as a citizen of this country to invest my money as I wish. Only I can determine what is and isn't best for myself and my family financially
For some investors, a high-volume trading strategy could be something they affirmatively seek—perhaps because they have a strong appetite for risk, desire to engage in market speculation, or both. For others, such a strategy might not make sense and could be a sign of a type of misconduct known as “excessive trading.”