Dear FINRA Regulators,
I am a new investor who has benefited greatly from the variety of exchange-traded funds on the public securities market. I have seen great gains through the use of leveraged, inverse leveraged, and volatility index tracked funds. Since I understand the inherent risks of trading these funds, I firmly believe that most investors with basic knowledge can learn and understand
I think I can choose the public investments, that are right for me and my family.
I can understand leveraged and inverse funds and their risks.
Leveraged and inverse funds are important to my investment strategies. they help my protect (hedge) my investments or seek enhanced returns.I use them as a limited part of my overall portfolio.
I have many years of experience in investing in stocks,
Aloha, as a small retail investor I would definitely NOT be in favor of any of any restrictions on my ability to buy and sell publicly-traded ETF's and similar common financial products, so long as the already well-known risks are plainly and honestly disclosed by issuers and brokers in any promotional materials. Trying to accurately determine who is and isn't capable of
Dear Regulators:
I have been an investor in various markets for more than 50 years with experience ranging from stocks, bonds, and mutual funds to ETFs, commodities, real estate, complex financial instruments, and, most recently, crowd funding offerings. I understand, accept, and limit the risks of my investments. I should not be limited in my investments or be required to take creative means
I think I can choose the public investments, that are right for me and my family. I can understand leveraged and inverse funds and their risks. Leveraged and inverse funds are important to my investment strategies. they help my protect (hedge) my investments or seek enhanced returns.I use them as a limited part of my overall portfolio. I have many years of experience in investing in stocks, ETFs
I think I can choose the public investments, that are right for me and my family.
I can understand leveraged and inverse funds and their risks.
Leveraged and inverse funds are important to my investment strategies. they help my protect (hedge) my investments or seek enhanced returns.I use them as a limited part of my overall portfolio.
I have many years of experience in investing in stocks,
By Kara Williams and Gargi Sharma
FINRA’s Special Investigations Unit (SIU) anticipates continuing our focus on Russia-related sanctions and evasion tactics, as well as other priority threats such as new account fraud, reporting of cyber-events and cyber-enabled fraud, market manipulation and trading-related frauds and Ponzi schemes. While SIU will focus our investigative resources on these
FINRA - I understand that you feel a need to protect investors from some of the potential pitfalls of leveraged ETFs. I urge you to approach this topic with caution, however. Face it, risk is the foundation of investing and the entire field is fraught with potential pitfalls, interpretation, influence and missteps. There are no guarantees and, effectively, no real reliable sources of information
Hello FINRA, I regularly trade leveraged products. I would like to continue doing so, however, I do think that some of these products should go away. In particular 3X inverse products. Not because I want stocks to go up, but these products decay rapidly when implied volatility increases, which happens when the market goes down, so they can never meet their investment objectives. An easy example
Year after year, as I find ways to increase my net worth and diversify my portfolio, regulators seem to step in and take away more and more tools from my personal finance toolbox. It's really frustrating and, with each new regulation, it seems as though only the currently wealthy and high net worth individuals are able to pursue high risk/high return strategies. I understand the risks and
