I would like to be free to invest in what I deem appropriate for me, my investment and retirement goals, and my risk tolerance. I do not need someone who knows nothing about me, my personal goals or my personal risk tolerance to attempt to determine what is or is not appropriate. Nor do I need someone else to tell me what they think I may or may not understand. In short, I do not need someone
Dear Sirs and Madams: As a former managing director of a broker dealer I can tell you with certainty that regulations for leveraged and inverse ETFs are long past due. Although I have over 45 years of investment experience I was also ill informed about their characteristics and basically lost all of the money in my IRA which I luckily could afford. Now that I understand them I am profiting
I would appreciate FINRA supporting people like me who wish to trade ETFs and leveraged ETFs especially in IRA accounts where we can control the gains and losses in our accounts. In my case I have over 50 years experience in the markets and would prefer making my own decisions without interference from outside sources. Shorts arent allowed in some accounts and the only way to protect holdings in
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
I feel it is very important for retail investors to have the same types of ability to buy inverse and leveraged stocks that corporate investors have access to. Denying access to this type of investing would deny retail investors more equal ability to take advantage of bear markets.
These leveraged funds do NOT needed additional regulations. They trade like a stock and can be volatile but are not like future/commodities where the investor can lose funds rapidly. This is a more conservative alternative to exposure to commodity markets and should qualifications to trade should not be altered or increased by regulations.
The landscape of types of investment products is quite broad, and extends well beyond stocks, bonds and mutual funds, which are familiar to many investors. We’ll give you an overview of major investment categories—those that have been around for decades and some that are emerging.
I reject the idea of anyone else, besides me, that can tell me what type of stocks I can buy. Period.
Rights need to remain with the individual, not the regulators, who have more power than I'd like, and do not want to see their power grow.
As a layman, I find the practice of share lending to be disappointing. Many people trust their brokers and relevant institutions to act in ways that aren't detrimental to their portfolio. Lending shares (even from ETFs) to satisfy the borrowing needs of short sellers? This needs to end. Retail's confidence in US capital markets has all but evaporated at this point. So really, things
