More regs are not necessary except on margin. Leave the small retail trader alone. The market is fixed enough by all the large players. You might want to regulate so called stocks such as DWAC. That is where the criminals are. Leave the traders alone with your rules. Not needed.
Continuing Education Planning
The premise of having public securities is the amount of available information to make an intelligent and informed decision. Leveraged ETFs come with enough information. There are stocks from other countries listed that do not adhere to standard accounting practices or disclosures. Why target Leveraged ETFs and not the other investments?
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
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Reminder to NASD Members – Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
I should be my responsibility to select the type of product I am interested to buy and to accept responsibility for the choice. Many individual stocks are even more risky. Do not take another freedom of choice. Make sure relevant information is provided and available but leave the decision up to the individuals.
- Everyone should be able to choose any public investments that are right for him/her.
- Leveraged and inverse funds are important to investment strategies, especially during the period that the stock market is going down since they can hedge the investment portfolio to reduce loss and even enhanced return (if any).
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Supervisory Personnel
Training
Executive Summary
On March 5, 1997, the Securities and Exchange Commission (SEC) approved amendments to NASD® IM-2210-3 (Guidelines) to allow for the use by members and associated persons in advertisements and sales literature of investment
Investors such as myself should be able to invest in leveraged funds without needing special processes or tests. Leveraged funds should be available to public regardless of education or net worth. Leveraged funds are far more safe investment vehicles when compared to stock options or cryptocurrency.
