Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
18a-3(a) Every security-based swap dealer and major security-based swap participant for
Leveraged ETFs are a valuable tool investors utilize to deploy certain strategies. While the risk is amplified, the return can be as well. Further, while some argue the risk is too great, investors have the right to take risks within their individual risk appetite
Afternoon,
I was recently notified about some potential regulation that may impact the ability for ordinary people to invest in complex investments, particularly leveraged funds.
This is troubling to me. In the last 5 years I have been studying investment strategies and just recently took the series 65 with the hopes of helping other people with their investment goals. My studies have had a
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
On June 25, 2024, Progress Software released the MOVEit Transfer Critical Security Alert Bulletin (the Alert Bulletin) for CVE-2024-5806, a newly identified Critical Vulnerability, which was described as an Improper Authentication vulnerability in MOVEit Transfer, Secure File Transfer Protocol (SFTP) module and could lead to Authentication Bypass.
To whom it may concern,
I am a retail investor with over 20 years of investment experience. I am a software engineer, and generally a nerd that tries to built expertise in anything I have interest in.
I understand the risks involved in the use of leveraged funds, and they are vital to some of the strategies I employ. One of my strongest portfolios is currently based on Ray Dalio's All
Regulations prevent small investors like myself from participating in venture capital and hedge funds, keeping more wealth in the hands of the wealthy.
UPRO's leveraged investment options are a critical component of my portfolio. Leveraged, they increase risk, but are also tied to market performance which diminishes single company/industry risk whereby I can choose the risk level I want
I oppose restrictions to my right to invest in TQQQ, SQQQ and other leveraged products. I have been investing in these products for years and they are no more risky that any other stocks in the market. Anybody trading in the market has to understand that there is risk involved and chooses to take that risk...regulators should not try to babysit investors by trying to tell them which stock or fund
I bought inverse ETF during pandemic to hedge against the market downturn risk and back then there were no restrictions. Now given the huge risk in the market, Id like to have the same ability to hedge my portfolio against the risk in the current market environment so in a health market, short sales or inverse ETFs balance the risk.
I'm an adult and earned my income and the right to invest, income that I've already been taxed on mind you, the way and you the amount of risk that I choose. Ive been made aware of the risks involved and understand.
Stock market speculation is inherently not risk free. Please let me choose my level of risk and exposure.
