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In light of the recent outbreak of coronavirus disease (COVID-19), FINRA continues to review its pandemic and business continuity plans to ensure continuous operation of FINRA’s facilities for the reporting of OTC transactions in equity and fixed income securities (i.e., the Alternative Display Facility (ADF), the OTC Reporting Facility (ORF), the Trade Reporting and Compliance Engine (TRACE) and
REGULATORS:
I not regulators should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities, like leveraged and inverse funds. I am
capable of
I oppose the attempt to restrict the rights of investors to invest in leveraged and inverse funds. While I see that it is an attempt to prevent possible loss by inexperienced investors, failure is sometimes a necessary learning tool. Rules made to avoid the odds of failures are simply crutches for the inexperienced and unnecessary barriers to those attempting to learn. There are already limits in
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am perfectly capable of understanding the risks and determining
Inverse ETF's are not exceedingly complex financial instruments. In addition, they can be used easily and cheaply to reduce risk by investors with significant equity exposure. Investors such as myself should have the right to make our own decisions about reducing risk without the need to sell our stock positions. We should not be forced to take a test to retain this right, although i have no
I should have the same opportunity to invest in leveraged and inverse funds as wealthy investors and institutions. Adding additional 'tests' to determine my ability to invest appropriately is an unnecessary burden on me. I utilize some leveraged and inverse funds as a hedge during difficult markets like the one now. These proposed restrictions will only hurt my ability to manage my
We don't need big brother controlling our financial decisions. This is not 1984! I've already graduated from school many years ago. I don't need to take anymore tests. Leveraged and inverse funds are used to control risk in my portfolios.
Taking them away only puts my investments at a greater risk. Please give me and other investors like me Freedom To Choose.
Thank you
The lack of transparency with short interest is triggering a crisis of confidence in the US markets. The uncertainty regarding systemic risk is creating a systemic risk in and of itself. The crisis is just beginning.
1) When I first joined my firm, I emphasized a BCP that answered the question, “What happens if we lose use of our primary office for an extended period of time?” With that in mind, I encouraged our office staff—particularly our IT function—to think in terms of carrying on a regular workday from an alternative location. IT spent several years gradually building up our remote working capability.
How is owning a security a bigger threat than owning a firearm? Currently I dont have to take any tests or demonstrate any knowledge to own a firearm or ammunition, and any risks involved with gun ownership the government considers acceptable. So how exactly does these new rules protect me? I dont see how the government can tell me Im competent enough to own a firearm and ammunition but not a