I not regulators should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their
I'm 62 years old and I made my first stock purchase in 1978. I completely understand the risks associated with buying and selling listed securities, including inverse and leveraged funds. If those securities are reserved only for a select group of investors, the professionals and very wealthy have an even greater advantage in the public markets. It is especially important to have
I (the People) should be able to invest in what I want, NOT what you think. That;s just too much regulation (Micromanaging)
I am more than capable of understanding complex investments; if you want to fix ignorance; then we need to FIX OUR SCHOOL SYSTEM to teach our young valuable financial Life Skill.
I (the people) am capable of understanding what I don't know and research it. That is
I not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse
I understand the risks associated with these products which ALREADY are more than well documented in disclosures by both the Broker and the Funds that that issue them. Because I am borderline High Net Worth individual, shouldn't mean I, nor any of the general public should not have access to these inverse and leveraged tools to properly hedge risks in our portfolios. Using these tools can be
FINRA has revised the following examination programs:
A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
Restricting public access to downside hedges during a bear market will result in compulsory put option protection and force investors, who you fear aren't capable of managing an inverse ETF, to manage a portfolio of option hedges instead.
You will increase the average investor's risk burden this way, putting otherwise prudent investors in jeopardy.
I use both leveraged ETFs and
SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws on deep engagement with its member firms. Among other benefits, this engagement enables FINRA to better understand and address risks to investors and markets; better adapt its oversight to changing business practices and markets; better support innovation and the deployment of new technologies and
I do not consider necessary that a client that is investing in complex products (such as a structured note) needs to have an options agreement in place due to the fact that the client is not executing options trades, it is the issuer of the product. Instead I consider that if the client understands the product (risks associated, potential return/loss, rights and limitations, liquidity, etc.) in
