To whom it may concern, As a retail investor and American citizen with rights, I synthesize with all other retail investors and institutions who want nothing other than a fair and equal stock market. A stock market that is free and clear of any and all manipulation. We have been the "small guy" for so long without a fair shot in being able to generate wealth, growth, and practice for
Good afternoon, I am not very educated in the stock market and rules governing the actions of parties. However, I know that Naked Shorting is likely illegal and it seems that this has been happening with this merger between MMAT and Torchlight (TRCH). It's also unfair that so much shorting activity can be done secretively. There should be requirements for cooperations shorting to declare
"However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks." Like the complex derivatives that the large financial institutions created leading up to the Global Financial Crisis and collapse of the housing bubble? Until you remove the ability of institutional investors to be excessively leveraged with
Gentlemen: People that enter the investment market MUST understand that this is environment that can make money as well as lose money. If you are not an adult enough to understand this, you should not enter the market. Being an adult brings with it responsibilities. Adults do not need the Federal Government looking after them like children. Your regulations could not only prohibit adults for
I have been informed that you intend on restricting, impairing or preventing my ability to purchase and sell proshares inverse ETF funds such as QID. I am currently using them as a hedge against adverse market conditions. As, regulators I do not believe you should restrict my rights to invest or hedge my current portfolio. If you do so, you will financially damage my assets in a down market.
I have invested in both leveraged and inverse funds for a long time. The leveraged funds increase my potential gain and inverse funds give me protection from downturns and I don't want the regulators to meddle with my investments unless they can show me investments that only make gains and never lose. Also, before proposing such regulations they should clearly state their objective and
Dear Regulators:
I have been an investor in various markets for more than 50 years with experience ranging from stocks, bonds, and mutual funds to ETFs, commodities, real estate, complex financial instruments, and, most recently, crowd funding offerings. I understand, accept, and limit the risks of my investments. I should not be limited in my investments or be required to take creative means
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
I am very concerned to hear that you, as a regulatory body, want to take away the option for investors to invest in inverse funds. These funds are and have been a big part of my investment strategies over the years as an investment option to protect my downside risks in periods of market volatility. I, as an individual investor, should have the option to choose what I want to invest in.......not
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.
