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Executive Summary
The NASD is publishing this Notice to remind members that new Section 46 of Article III of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any dividend, payment, or distribution on
I (not regulators) know my financial situation, investment time horizon, and how I want to structure my portfolio to meet my financial goals. I should be able to choose investments that are right for me and my family without government interference.
Leveraged funds are an important component of how my portfolio is structured, and I shouldn't have to go through any special process like
I am opposed to FINRA restricting my ability as a private citizen to purchase securities that are currently available and may continue to be available to institutions. I doubt the funds would go away they would just be blocked for retail and available for insiders once again tipping the scales in favor of the market makers. These funds help to take positions without using margin or assuming
Hello, I am discouraged to know that there are regulations and restrictions being proposed that would severely hurt my investment strategy. Levered and inverse funds are very important to me and I strongly oppose such regulations and restrictions. Myself and my neighbors regardless of designation, education, or wealth should be allowed to choose for ourselves what risks we want to take. We are
During my 40 plus years of trading and investing for both short and long term profits, I utilize both leveraged and inverse trading vehicles to balance my families portfolios in volatile markets. These are important vehicles which provide that investment strategy in balancing market action.
Regulators should NOT interfere nor have the authority to select/provide what investments are available to
ProShares offer a choice to investors. Disclosure of risks associated with ProShare's ETFs are well documented. Communication is regularly provided and easily reviewed by the public at large. Introducing illiquidity to the marketplace does not benefit existing shareholders and rather hurt small investors like myself. I currently invest in leveraged funds to take advantage of short to
I am totally opposed to any restrictions on the freedom to choose what securities I'm allowed to buy. If protecting the public from excessive risk is the goal, then there are overwhelming categories of securities that Regulators would have to restrict. We would have not a free market but a restrictive one. It is the individual's responsibility and right to determine how much
Generally, complex products as described in this notice should be available to individual investors ('retail') with some obligation on the brokerage to ensure the individual investor understands the structure and risks associated with the complex product. Some brokers do a very good job of this and others seem to just 'check the box'. I think it's
Hi, I’m Jon. I’d always heard that the best way to learn meaningful skills as a developer was to change jobs every four years. So, in 2012, when FINRA hired me as a junior developer, I reminded myself that this was just the first stop on my journey to build and shape a technology career.
I oppose any new regulation that is going to limit my ability to freely buy and sell shares of certain stock. As average middle class citizens trying to get by we are already getting stretched thin with the recent lowering of the $600 threshold (1099) with this current awful administration, and now this. Stop proposing measures that will only hurt average middle class citizens trying to better
