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I strongly subject to regulators determining how and where I should be allowed to invest my own money. I have 4 college degrees, 2 bachelor degrees 2 masters degrees including an MBA. I run $100 million multi state company managing an endowment in excess of $50 million. It doesnt seem necessary or appropriate for regulators to make a blanket determination that personal investors should be
I fully expect FINRA to act against the best interest of the retail investor. FINRA has proven time and again that regulations are designed to protect the corporate, "sophisticated" investor rather than the everyday "retail" investor.
"Treat all investors equally" means there shouldn't be roadblocks put in my way to invest in certain
Please do NOT take moves to restrict my right to invest in leveraged or inverse funds. Whether I choose to make such investments should be MY decision, based on my own knowledge and judgment, not that of a regulatory body such as FINRA. I have used leveraged and inverse funds for many years, always as a very small part (less than 5%) of my investment portfolio. I use them sometimes as a hedge and
The investing public not regulators should be able to choose the investments that are right for me and my family.
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 capable of understanding leveraged and
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Trading
Executive Summary
New uniform provisions regarding the automated reporting requirement for Positions Hedging Stock Options will become effective on December 31, 1997.
New uniform provisions regarding the automated reporting requirement for Stock Index and
The TRACE Quality of Markets Report Card for Treasuries is a monthly status report for treasuries transactions that a firm reported to the Trade Reporting and Compliance Engine (TRACE). Firms are required to report trades in accordance with established FINRA rules and regulations. Firms should make no inference that the staff of FINRA has or has not determined that the information contained on
I oppose any restrictions to my right to invest in public securities like leveraged and inverse funds. As a private citizen I, not a regulator, should be able to choose the public investments that are right for me and my family. I don't feel I should have to go through any special process like passing a test before I can invest in leveraged and inverse funds. I did the homework BEFORE
Dear sir or Madam, Although I appreciate the concerns for the well being of the citizens. I find more regulation on any investor infringing and destructive. I personally have a Ph.D. in mathematics. I spend great deal of of time assessing risks, creating models to make sure I am making the right decisions. Using leveraged funds is vial in leveraging, since you use a little bit of money to "
Dear FINRA, As a US citizen and investor, I expect to be able to make my own decisions when it comes to my investing choices. Individuals should be able to choose from a variety of investments, including leveraged and inverse funds, in accordance with what is right for them in their own opinion. We are adults and can make our own informed decisions without having to jump through additional hoops
I have used leveraged products as a means to capitalize on market conditions. Through research, education, and constant monitoring, I was very successful. I stayed in leveraged products I understood and that were well funs (TQQQ, for example). The smaller riskier leveraged products were not for me, but that was my decision. This is the same as trading options.
What you offer to one you must