I do not support this regulation. I trade stocks for a living and these vehicles are vital to my ability to make a living. Regulations restricting leveraged and inverse funds are onerous and unnecessary. There are more than enough disclosures required by brokers that can inform the retail investor. These actions will only enrich an already highly-profitable financial industry through the forced
Dear Overactive Regulators -
I'm a big boy. I can read a prospectus. Please don't place any further obstacles in my path as I attempt to navigate the toxic economic environment the government has created. If you want to restrict the actions of people who do not have a basic understanding of economics and financial markets, please start with Congress. It is a target rich
Every time when regulators thinks that they can make better decisions than individuals - they are wrong. By taking away the individual the opportunity to learn from its own mistakes - you promote lack of responsibility, lack of need to think and responsibility for its own actions.
Leave my options to participate in leveraged transactions, if I can have a mortgage I can make these decisions.
We don't need your help. anyone who trades should be responsible for their own actions. These ETFs are not complex, individuals just fail to take the few minutes to read the information that each ETF provider is required to provide. Retail investors don't need your protection because we are so stupid and unable to understand "complex" ETF's. Thanks for
All positions should be reported and transparent, otherwise nefarious intent and actions are more likely to happen with those which are not required. History is a prime example of this. Expose the shorts, and enforce guild lines and regulations regarding covering positions of said shorts. end the farce. Stop manipulation of the markets, and route transactions to LIT Markets.
Visual representation. A lot of those who are not versed in finance and investments have a hard time visualizing investments and what the “outcome” of a specific action or rule would look like. Finding ways to compare to real life events, not related to investments, is a way for new investors to correlate new investment knowledge to prior experience.
By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way, including by restructuring departments, building new technology capabilities, improving coordination across different functions, enhancing transparency, and identifying ways to be more risk-focused.
Wow. Looks like if you enact all of these, you might have some idea of how much you colossally failed to do your job. The total inadequacy of security regulation in the USA should make every past and present employee of these organizations embarrassed. People saw this before and had to just take it... one man against the population. Now, you cannot silence us and we ll expose every corrupt member
The FINRA Board of Governors will consider the following rulemaking items at its February 2013 meeting.
I would like to see Short interest not be self reported anymore and for it to be reported from regulators such as Finra or the DTCC. If no such action is possible, I would like to see harder fines for misreporting Short Interest, especially if it is a bigger institution as to smaller investors, the fine does not seem harsh enough to get those to stop misreporting short interest
