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
Eliminating the leveraged ETFs from the choices of investment vehicles is the wrong decision. If the leveraged ETFs are volatile, how about the individual securities, mutual funds and options. Every investment tool in the stock market involves some degree of volatility and risk, even crossing the street in daily life has some degree of risk. Are we going to eliminate options because they include
Eliminating the leveraged ETFs from the choices of investment vehicles is the wrong decision. If the leveraged ETFs are volatile, how about the individual securities, mutual funds, and options. Every investment tools in the stock market involve some degree of volatility and risk, even crossing the street in daily life has some degree of risk. Are we going to eliminate options because they include
During the history of US stock market, people with little to no money to invest have been able to invest in the stock market and lift themselves out of poverty. I do believe investors should be educated in plain English about their stock in Bitcoins. I believe that a certain amount of regulation is needed to prevent the problems that unregulated derivatives caused in the housing market. Today
Comments: I've been using leveraged ETFs for many years and am well aware of the added risk. My experience is that the risk of the leveraged vehicle is not much different than investing in individual stocks. It is easy find examples of stocks that are far more volatile than the leveraged product. For example, a two year chart of ROKU with TECL would show that the leveraged ETF was a much
Good Day,
I am writing to express the my frustration at hearing that regulators my limit investors ability to invest in leveraged stocks and inverse stocks.
Investors should be able to invest in the stocks they choose to for themselves and their family.
They are an important part of investment strategies and should not be limited to privileged higher net individuals.
As with most regulations
The Extended Hours Trading topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
I buy leveraged and inversed funds as part of my investment strategy and would be very negatively impacted by any change. I buy these funds as a hedge so I can hold my regular stocks in a down market to held for long term gains. For example, I am holding AAPL, AMZN, MSFT, NVDA,SOXL AND OTHERS. I want to hold these stocks for long term gains. I can keep the stocks and hedge by buying SQQQ, the
It has come to our attention that under the regulations being considered by FINRA I may not be able to buy leveraged and inverse funds like TQQQ, SQQQ and others. I would like yo urge you to NOT implement these regulations. These funds are important to my and my husbands investment strategies and restricting these funds will hurt both us and others we have encouraged over the years to use to
Please do not add any regulations on leveraged stocks. And allow us to trade same as regular stocks.
