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SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved new Schedule H to the
1.Leveraged and inverse funds help common investors like an insurance by hedging, so it protects the investment made in the stocks.
2.Restrictions will limit number of investors and thus liquidity.
3. If liquidity/availability less - then brokerage fees will increase.
4.Common investors are aware about the leveraged investments.
5.If investors give details about bank balance, net worth details, a
I invested in crypto for my future retirement, as I couldnt afford to get into the stock market having always been a low income agricultural worker. I have been a hard working, taxpayer since the age of 16. I am 55 now and expect to have to work another 25 years and cant count on Social Security to be there at that time. I worked hard for the money I invested and cant afford to have it taken away
Summary
FINRA has amended Rule 11880 (Settlement of Syndicate Accounts) to revise the syndicate account settlement timeframe for offerings of corporate debt securities. The amendments to Rule 11880 establish a two-stage syndicate account settlement process whereby the syndicate manager is required to remit to each syndicate member at least 70 percent of the gross amount due to such syndicate
The investor should be responsible for making their investment decisions not some official. Leverage funds have great risk and thats a risk I am willing to take. All investments have risk, Enron collapsed, was a risk. A normal stock shows a miss on earnings and drops 30%, Netflix lost a small number of total customers and drops 40%. Can you protect all my investments, no, nor should you.
Our government should support a free market economy. To limit individual investors from inverse ETFs, is just another way to force American citizens into holding declining stocks (and losing money) while large investment firms make billions. I deserve the right to evaluate an investment, the risks, the rewards, and make a decision based on my research. Limiting the vehicles I have to generate
The stock market will undergo a difficult period in the coming years. At times, it will be necessary for investors to buy protection to hedge against market declines. Regulations that prevent retail traders from hedging their investments through inverse funds will ensure that large institutional investors profit and protect their investments during market selloffs while retail investors will be
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldnt have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I understand the risks of leveraged and inverse funds just like the common
Regulating inverse funds is another assault on the individual investor. It is hard enough to compete against large funds and billionaires but taking away the advantage of inverse ETFs which do not require the investor to hold a margin account is an assault on freedom. In addition, the fess saved from not have to pay to borrow stocks are another way to hurt the little guy. Inverse and leverage
