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
I as an investor am well informed of the risk associated with a leveraged fund but am also aware of the benefits of these as they allow me to have insurance against market swings without having to allot a large portion of my portfolio.
They have a place for a personal investor like me so I do not have to invest a larger portion of my portfolio in riskier option trading or short selling for
Comments: Im a retail investor who takes responsibility and ownership of my trading and investing activities.
Leveraged and inverse products are useful trading vehicles for retail investors who dont have easy access to short selling, swaps, or other forms of leverage.
The products are easy to understand for anyone who takes the time to read the fund prospective and objectives.
I feel that FINRA
With the availability of information over the internet it is no longer reasonable to think that investors are not educated in all aspects of funds trading. Last year a group of talented amateurs was able to commit a short squeeze against major bank holdings that were too sure of their own intelligence. This clearly follows that basis to protect vested corrupt interest to the detriment of the
I have been an investor in the stock market for over 20 years, but am considering pulling out for good. The regulators have shown everybody that they aren't in control, and allow hedge funds to run rampant with manipulation and most likely buy them off with kickbacks in the form of fines, while they break all the rules. The level of gross criminality is off the charts, and at the very least
Comments:FINRA should restrain from limiting access to leveraged funds. These funds are suitable for any investor that understands how leverage can be effective in achieving a financial goal. Obviously these funds are more for short term trading so the trader should be vigilant. Long term inexperienced buy and hold investors are better served elsewhere. Any investor should have access to these
I am a small private investor with a great deal of experience however I might not measure up to your new strict standards.That concerns me as I use these investments as short term hedging vehicles. I shouldn't have to go through a special process to qualify, what brokerages have in place now is very adequate. Your proposed new rules would make these products the exclusive trading grounds of
I do not want regulators to limit the use of inverse and leveraged funds to the general public. This would limit my ability to invest using my retirement accounts, in which other investment strategies are not allowed, such as options and short selling. If these funds are straight forward to investors through the prospectus and following current regulations, no other measures should be imposed on
FINRA seeks comment on proposed amendments to FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.
I have watched the so called "meme" stocks have massive inflow over outflow and still drop like rocks. This is bizarre to me as a retail investor. I might be ignorant about this but I think it warrants investigation. Best, Richard
