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Email: [email protected] Subject: Regulatory Notice 22-08 05/08/2022 Please allow leveraged and inverse funds to continue. Public investments should be available to all of the public and should not be restricted to only certain groups or individuals. I have a hard time understanding why restrictions are being considered for leveraged and inverse ETFs such as index funds while high risk stocks
Greetings,
It has come to my attention that FINRA is considering new restrictions on the ability of the public to invest in leveraged and inverse funds. I'm writing to express my opposition to restrictions which would significantly limit the public's access to and ability to use these important investment tools. In my own experience, leveraged and inverse funds are very useful
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today said it intends to increase the number of arbitrators available for selection when parties pick arbitration panels, to 10 from the current eight, for each type of arbitrator on a three-member panel - public chair-qualified, public and non-public.
Washington, DC – The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Tod Bretton, former Chief Compliance Officer and Head Trader for Prestige Financial, Inc.
An individual should be able to make their own choices regarding what their risk tolerance is and what investment vehicles they choose. Leveraged/Inverse funds are only a small portion of my portfolio. I use this type of an investment as a hedge to protect the rest of my portfolio as well as enhance my overall returns. Over the last 50 years that I have had an active portfolio of investments,
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
While I fully understand the need to have informed investors by placing common investment vehicles such as ESG funds , CEFs, ETF etc. on the list only serves to limit investments from the "common citizen".
In addition artifical barriers such as " broker approval" and tests seem to tilt the landscape toward forcing individuals to use "advisors"
I have been using inverse/leveraged funds for over 7 years now. When I started I was new to trading. I did all the research on the funds as that was my responsibility as a trader. The brokers I use all explained in great detail the risks of trading these types of funds.
Everyone should have the right to trade these types of investments. It should not be based on how much wealth you have.
Leveraged and inverse options should be maintained. They are like any investment product, and all licensed brokers or adviser make clients aware of the volatility decay associated with them. There are currently requirements for different levels of option investing, and a similar clearance could be required for those who invest in leveraged equities.
If you wish to remove risk from the market,
Leveraged and inverse funds are a hedging tool when I think put option premiums are expensive and/or I am unable to directly short a stock or ETF in my retirement accounts. I also use them to make speculative directional bets where I deem appropriate. Position size is always key in volatile products ,that is just common sense from the offset, or quickly learned by actual trading experience...