Displaying 601 - 610 of 1859 Results
I am opposed to the restrictions FINRA is proposing on the ability of retail investors to buy leveraged and inverse ETFs. For one, this is an impugnment on basic freedom that the US is supposed to stand for. I am more than capable of reading the basic documentation for these funds and understanding the risks I choose to take. They are also critically important to my investing strategy and
I oppose these new regulations that they want to implement in these ETFs. I think it is unfair that only qualified people or people with degrees in finance can access this type of investment. As a small investor, I believe that my money has the same value as yours, so I don't understand why there is discrimination. Each person assumes the risk of their investments. I beg you to
I oppose the type of regulation being proposed to access leveraged investments. I note that investors such as me have to submit a self assessment of their capabilities before they can open a trading account with brokers.
I also note that no such restrictions or limits on leveraged instruments are placed on the so called institutional investors and companies. I demand a level playing field.
I have the capability of making my own investment decisions. A lot of people have investment strategies using these products and know the risks and do not put their life savings them.
I actually have a Series 7 license and understand the risks. There are others that do not have a license but are traders that make a living of trading. I do not feel the government needs to regulate. There is
I invest in leveraged funds, and I am completely against this proposal. Specifically, I combine the leveraged funds with the non-leveraged versions of the same targeted index to achieve my desired level of leverage. While my returns obviously lag the index in adverse market conditions, I vastly outperform the market in up periods. I never use the inverse funds, but I always incorporate the
I'm 68 years old and have been self-employed for most of my working life. Being self-employed means investing in various IRA, SEP, Self-Employed 401K plans, etc., which I manage myself and have for several decades. The very last thing I need is for government regulators tell me I can no longer have access to leveraged and inverse funds. These investments are a large part of my
I am appalled that the SEC thinks they have the right to tell how and when is acceptable for me to invest in any instrument. I am a frequent investor in leveraged and inverse funds and demand that you take no actions that infringe in any way on my ability to continue to do so. These investments should be available to all, not just to a privileged few. I insist that you drop all planned actions
FINRA, taking such action by instructing ordinary investors that "we are not sufficiently sharp" to comprehend our investment portofolio, opportunities and our planning is a "bridge too far". FINRA, stay out, it is not needed and if this is part of the ESG movement, focus on yourselves. Let us be!! We are free to chose our own course and our own investment
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
(a) If an ADF Trading Center does not achieve certain thresholds of both its Projected Average Transaction Volume and its Certified Peak Transaction Volume in one or more categories on one or more days in a given calendar month, the following shortfall capacity usage fees will apply:
For Projected Average Transaction Volume:
Level