I wish to state my strongest objection to what I perceive to be an overt attempt by power-hungry control freaks in the federal government relating to limiting access to investment opportunities in, among other vehicles, inverse and leveraged funds. This is nothing more than a solution in search of a problem, in my view, and is a dangerous step toward government control of the marketplace.
The
I do not believe that it is a good idea for equaiity to reduce or limit access to leveraged funds to anyone. Leveraged funds can help the underprivelaged and by regulating them further they might not know that the vehicles exist. Requiring a certain amount of net worth or potentially expensive or time-consuming tests is just plain wrong. Regulation could also cause these funds to crash, making
Hello FINRA, I have been using leveraged ETF's in my portfolio using a strategy based on an algorithm that helps me decide when to buy and sell and I have been successful using this strategy. I have a firm belief that I, not the regulators should be able to choose the investments that are right for myself and my family. Public investments should be available to all of the public,
I oppose the proposed rule that would restrict my ability to use public instruments in my investing. I have been using leveraged and inverse funds for about 20 years. I follow my investments quite closely and before starting to use these funds, I examined their pros and cons. Since then, I have come to the conclusion that leveraged funds are simply volatile instruments, of which there are many
Hello FINRA,
I have been using leveraged ETF's in my portfolio using a strategy based on an algorithm that helps me decide when to buy and sell and I have been successful using this strategy. I have a firm belief that I, not the regulators should be able to choose the investments that are right for myself and my family. Public investments should be available to all of the public, not
As you may be aware, FINRA has already begun the rollout of FINRA Gateway—your new front door to FINRA. This new platform is intended to streamline compliance functionality. Throughout the development process, we are working with our users within the industry to add value to their interaction with
All short positions, including naked short positions created as part of bona fide market making activities, should be created on a lit exchange and reported in their entirety. The term "bona fide market making activity" should be defined by the regulator very specifically. The purpose of creating a naked short position in market making is to give an IOU for that share, and then to
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
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Executive Summary
The NASD reminds members of their obligations under the Rules of Fair Practice with respect to mutual fund sales practices. Members and their associated persons must ensure that their communications with customers (both oral and written) are accurate and complete regarding disclosure of
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