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let us invest and trade, some of us are following newsletters for years. we don't want to now be limited. these investments let us put on a hedge and stay long. don't make us take some test, it is too limiting. free country to learn and invest and we want different ways to balance everything out
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST! I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on me - nor does anyone else.
I should not have to pass a test before investing in public securities. I have been investing in all kinds of markets for more than 55 years. I am fully aware of what leveraged funds are and what inverse funds are and what their benefits and risks are. I essentially use leveraged and inverse funds to protect my long term investments.
Leverage ETFs provide efficient use of capital for small investors without much access to capital. Investor should be allowed to invest in security of their choice without interference of regulators. There should not be a special securities test for investing in any security. Leverage security help small investor hedge portfolio without high cost futures account.
I have invested for 30 years. I have used inverse etfs to protect my investments in markets that decline, often because of government actions.
No one should have to pass a test administered by the government to protect their own finances.
This is overreach by a department that I do not believe is looking after my best interests. It is pursuing an agenda that is against my best interests.
Inverse funds allow me to hedge my portfolio against a market downturn. It is almost like having insurance for your car. Nobody wants to be in a auto accident, but it is nice to know that you are insured in case you are. I did not have to pass any special test before getting my auto insurance policy. I have the right choose my investments!
I do NOT desire any changes by regulators that impeded my ability to invest, especially these listed below that require me to: Pass a regulator-imposed test of my specialized investment knowledge Demonstrate a high net worth Get special approval from my broker Attest to reading certain materials Go through cooling off periods during which you cant invest
WASHINGTON — Samuel Lek, former Chief Executive Officer of Lek Securities Corporation (Lek Securities), has been permanently barred from the securities industry in all capacities, and Lek Securities was fined $900,000 for violating, among other things, FINRA and Exchange supervisory rules, and Rule 15c3-5 of the Securities Exchange Act of 1934 (the Market Access Rule). The actions were taken by
NASDR is filing with the SEC a proposed rule change to adopt new NASD Rule 2315, which requires members to review current issuer information prior to recommending a transaction to a customer in an over-the-counter ("OTC") equity security. Additionally, the proposed rule change would amend NASD Rule 6740 to permit members to submit a certification to the Association that states that the
Interesting fact that I studied for and failed the Series 65 exam twice. I have two BBA's (one in Banking and Finance) and have NEVER failed an exam. Is this test rigged? Why not let folks invest in what they want? It's our money we have earned. Stop manipulating the market opportunities for the rich versus the hard working retail investor. Enough!