Skip to main content

Dietmar Scherf Comment On Regulatory Notice 22-08

Comments: As a private investor I have utilized ETFs for about 20 years and leveraged/inverse investment vehicles for approx. 12 years or so. These vehicles (specifically leveraged/inverse ETFs/ETNs) have been extremely helpful to enhance the profitability of my investment portfolio/strategy resulting in protecting my investments when these vehicles are used as hedge instruments, and in trading to generate additional profits (incl. short-term profits) when markets, a commodity, a sector, etc. show greater volatility and tend to move stronger in one or the other direction.

Dylan Timms Comment On Regulatory Notice 22-08

Comments: I believe that the foundation of a free market is the ability to choose the financial decisions that we as people make. While I understand that regulation is necessary to create a safe market environment with lower risk and less chance of inexperienced losses, there could be no possible way in which new regulations would be fair to all types of investors. A small percentage of investors outside of firms also trade leveraged ETFs or equities, and this will directly impact their investment goals or strategies that are currently in place.

Pradeep Mehra Comment On Regulatory Notice 22-08

I do not agree with FINRAs proposed limits that may restrict my access to Leveraged ETFs or disqualify me from trading L&I ETFs or other complex products. I have a strong understanding of the characteristics and risks of L&I Funds, and that their purpose is for short-term active trading, and that they should be monitored regularly. My broker provides me a description of the warnings in connection with my investments in L&I Funds, and their rationale.