I believe that regulating my right to invest in what might be of benefit one day to myself and my family, is tantamount to disallowing me to better myself, or even prosper. If I feel I am ready and willing to absorb the risk of losing money to take a chance on possibly making money...then I should at least be allowed to do so!
I oppose these proposed regulations because I already have full access to information about the risks of inverse and leveraged funds and further federal gatekeeping is not needed or welcome. Especially in markets that reflect the heavy hand of the Federal Reserve investors ought not be barred from protecting their own financial interests with a full range of investment tools.
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a
Firms have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a comprehensive review of the findings,
When you're a small investor who doesn't want to put an excessive amount of money at risk, a leveraged index fund is an ideal choice. With a stop-loss in place and the diversity of the index ETF, the downside is tolerable, the upside has been rewarding. There is such a thing and over-regulation. Please leave us alone, and concentrate instead on keeping everybody honest.
As long as the investment and brokers involved outline the risks, that is all the SEC should demand. Freedom for investment key to capitalistic system and should also include all International investments including China whom we must compete with and not restrict- restriction produces artificial competition which never works and only weakens our country!
Dear Sir,
I have good understanding of leveraged and inverse funds and their associated risks. I think leveraged funds like TQQQ are well suited for my short term and long term investment strategies. And these are available to all of the public and not just the privileged.
Therefore, I oppose restrictions my right to invest in leveraged & inverse funds.
As an individual investor, I should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. It should not be limited to big banks and hedge funds.
I have been investing for over 20 years and I fully understand the risk. Leveraged and inverse funds are important to my investment strategies.
I have a long time horizon and fully understand the risks involved in these products but they also provide me substantial return enhancement at relatively low cost. This is especially important in a projected long term investment environment when expected stock returns will be muted compared to history. Do not take this opportunity set away from investors!!
I think this is [REDACTED]. I should be able to invest my money were I chose. I am the one taking the risks. They need to keep their hand out of my public right to do this. If I wanted to go to school and pass tests to invest. I can make those choices for myself. Don't make any changes. This sounds like [REDACTED]