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Dear Regulators,
I should be able to make my own investment decisions in publicly traded assets based on my understanding of the risks involved in leveraged, Covered Call, inverse, and non K1 commodity funds without the burden of passing additional tests and the elitist nonsense of minimum asset amounts. My traditional "conservative" stock/bond mix portfolios have all dropped
TO: All NASD Members and Other Interested Persons
The NASD Board of Governors is concerned that some NASD members may not have sufficient time to comment on NASD proposals published in Notices to Members because the appropriate person in the firm does not receive the notices on a timely basis. The NASD normally provides a thirty-day period in which members and other interested persons can submit
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities and marking of sale orders.
I am opposed to the Subject rule #S7-24-15 This is clearly an infringement on the rights of the people to have the flexibility they need to make the necessary investments needed to reduce risk is a portfolio of investments. Inverse and leverage funds allow a simpler way than using options to protect investments from market changes. They allow it to be done without using margin loans to provide
There is no good reason that investors of any kind should be segregated and barred from any type of public investment vehicles, especially not on account of available funds. This rule banning certain investors from inverse and leveraged investment vehicles would limit individual investment strategies and only benefit large institutions. It is fundamentally unfair and disrespectful to the
You not regulators should be able to choose the public investments that are right for you and your 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. Explain that you are capable of understanding
I've invested in funds in question periodically over the past 15 years. They have provided a steady and comfortable addition to my portfolio without fail. The choice was always mine whether through personal research or following due diligence of a recommendation. Leveraged funds allowed me to pay off our home and to buy a car for cash... something not possible to do rapidly with regular
To whom it may concern, I am writing to inform you, as an investor that 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 don't want to go through any special process like passing a test before I can invest in public securities, like leveraged and
I strongly oppose any rule that limits my (or others') ability to implement investment strategy, which at times includes the use of options and leveraged/inverse exchange-traded products. I believe such a rule would cause me personal financial harm. Although I have decades of experience with such products, I oppose any rule for which I must pass tests or meet any arbitrary net worth standard
I have been an individual investor for a long time and I use leveraged and inverse funds periodically, many times for hedges on my holdings. I do not see why regulators need to tell anyone how to invest, and they do not need to be in the business of protecting people from themselves. The prospectus clearly explains the risks involved in these funds. I should not have to pass a test to show my