SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Comments: My broker already gives proper warning and reviews request to access these types of trades. Retail, new, and small investors are already at a disadvantage in todays market that allows high net worth entities access to trading outside regular market hours and through AI driven trades that give them a leg up when new information is presented to the public. Adding more restrictions or
Comments: inverse ETFs: investors with small accounts and limited knowledge or no access to options have no way to hedge their position without inverse ETFs. Putting small retail at that kind of disadvantage exposes them to more risk and potential losses. It forces them into trying to time getting out of the market, and/or taking gains in the short term bracket instead of holding and hedging and
I undertsand the volatility and how they work. IMHO, They are safer then many speculative growth funds, meme stocks, and crypto.
Use of leverage and leveraged ETFs to trade stocks is my business NOT the governments.
Stay out of my accounts!!
Banning retail investors from trading certain instruments is like like throwing an abuse victim in jail to protect them from their abuser. The only reason that this instrument performed so poorly over the last 2 years was the excess liquidity in the markets, and the pump and dump scams often indoctrinated into CNBC viewers. Over the year or so, we’ve witnessed the collapse of Melvin Capital,
Dear FINRA. I am an individual investor writing to ask that you not regulate, restrict, or in any way make more complex the task of investing in leveraged or inverse funds. The markets are a two way street. It is important to be able to manage one's money on both the long and short side. Beware unintended consequences of your decisions. Restricting individual investors from carefully
Summary
In 2019, the Securities and Exchange Commission (SEC) adopted amendments1 that revise certain of the Financial and Operational Combined Uniform Single (FOCUS) reporting and annual report requirements that apply to brokers and dealers pursuant to SEA Rule 17a-52 to take account of security-based swap (SBS) activity. Further, as a result of these changes, to
I oppose restrictions to my right of investment in the stock market.
1. As an experienced investor of 25 years, I have adequate knowledge of investing in public securities, including leveraged and inverse funds. No special test should be imposed on me before I can do business in stock investments.
2. I am able to choose which public investments that are suitable for me and my family. I have the
There should be more transparency in the stock market and fines for illegal activities that are actual of a significant magnitude.
