Comments: Please continue to allow me access to these products such as inverse EFT's. The companies providing them have given adequate information, and I further can look up information if needed. I understand they have additional risk, however I would like to take that risk for myself and should have to right to do so. Having these products to chose from helps me to balance my portfolio to
Board Re-Elects Chair, Re-Appoints Public Governors, and Approves Three Rulemaking Items
WASHINGTON—FINRA’s Board of Governors met on July 12-13 for the third time in 2023. During the meeting, the Board re-elected Eric Noll as Board Chair, re-appointed three public governors and approved three rulemaking items. The Board also continued its engagement with key stakeholders, hearing from
I do not think that the use of leveraged and inverse funds need to be regulated. Any investor who would choose these types of funds has a specific purpose in mind, either of limiting risk without having to sell off positions, or of potentially increasing dividends--for example, in retirement. These investments are not that difficult to understand and can play an important part in a moderately
In today's world we, the public, need alternative ways to invest. we do not need government interference to tell us what is good and bad for us. look at what government did with the virus, screwed up the world. If you want to control something do not let our legislative body have free access to information and then allow them to act on the information. what is good for thee is good for me.
1.) Limiting investment opportunities to those with high net worth is inherently un-American and is borderline predatory on those who would be excluded from making these investment plays.
2.) Leveraged and inverse funds are crucial to my short and long term investment strategies. Information and notices are provided with these, and should continue to be. Expanding information requirements is a
Greetings,
I am writing to inform you that I oppose any restriction on leveraged investing aside from warnings that they are not to be held long term. I believe that they are an invaluable tool that everyone should have access to, but not everyone should use. I am well informed and have determined that, considering my unique, highly risk-tolerant financial position, that these tools have great
I am against any more restrictions to my ability to trade leveraged securities. I have been fully informed of the risks involved by my broker Fidelity in these products and had to sign and submit a document stating so to Fidelity. I am fully capable of making informed decisions on my own without any further government or regulatory restrictions such as passing a written test or proving my net
I for one am in favor of the enhanced reporting requires. An efficient market can only exist when accurate information is available to make informed decisions. As there is ample evidence of past and present naked shorting despite restrictions against it, requiring proper disclosures of large short positions, along with sufficient penalties to ensure accurate reporting is critical to identify the
Regulators submit Form U6 filings to report disclosure events and disciplinary actions against individuals and organizations. FINRA also uses the form to report final arbitration awards against broker-dealers and associated persons.
Firms have an obligation to report U6 information on the appropriate registration form filing.
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As a relative newcomer to investing short interest seems to be a very complex subject to understand the situation regarding a company's share price and its analysis. Simple, accurate and timely information would help make a more informed decision on where to invest hard earned money. As such I feel information reported should be equally simple. Number of short positions opened, number of
