PLEASE do not take away ordinary retail investors' right to trade these products. There is an inherent risk in any investment. People who participate in the market should be able to assess for themselves what level of risk they want to take on. If they don't want the risk, there are plenty of other vehicles to trade. Most importantly, these products are the only way ordinary
I strongly oppose regulators blocking investments such as leveraged ETFs and inverse fund ETFs. These funds serve a valuable investment tool with lower risk than other investment tools such as options and options strategies or even investing is some stocks outright. As a long time investor I am capable of understanding the risk related to leveraged funds and I don't require the
Dear FINRA,
Leveraged ETFs are a relatively new entrants into the stock market, with the first fund being introduced in 2006. These ETFs give retail investors easy access to leverage that does not subject them to margin calls, or expire worthless like an option. Another innovation made possible by Leveraged ETFs, are inverse strategies. By providing investors with the ability to hedge their
5/2/2025 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 RE: Comments on FINRA Regulatory Notice 25-05 and Proposed Rule 3290 Dear Ms. Mitchell, I am writing to express my strong opposition to FINRA’s proposed Rule 3290, as outlined in Regulatory Notice 25-05. While I fully support FINRA’s mission to protect investors, this proposal
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EXECUTIVE SUMMARY
NASD members are advised that their participation in certain transactions with blind-pool companies may be inconsistent with the provisions of Schedule E to the NASD By-Laws. The merger or acquisition of an NASD
If you leave assets untouched and have no contact with the entity holding your accounts for too long, they might be deemed abandoned or unclaimed property. While there are avenues for recovering these assets, there are also preemptive steps you can take to help you avoid this situation.
The FINRA 21-19 filing is a long overdue step in the right direction. However, given the current rules set in place, which allows prime brokerages to give their clients, hedge funds, an ability to essentially circumvent any short position reporting through what they call 'short arranging products' or 'arranged financing programs', the regulations proposed in FINRA 21-19 will
I am writing to request that leveraged and inverse finds remain open to average investors. These products do have their own risks and my broker places several warnings before I can make a trade in an inverse or leveraged product. These are meant for short term and day trading only and there are many warnings that they are not intended for long term and you can lose everything if you do. I think
I oppose limits on investing in leveraged instruments. I do so on both the long and short side, and also use options. I understand the risks and limits. If you impair these instruments you will be impairing my ability to generate extra income while hedging long exposure to my portfolio and economic risks (e.g., selling cash covered puts on short ETFs). Please stop impairing open investing, and
TO: All NASD Members, NASDAQ Companies and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 30, 1985.
The National Association of Securities Dealers, Inc., is requesting comment from NASD members, NASDAQ issuers and other interested persons on certain concepts related to voting rights of the shareholders of companies whose securities are included in the NASDAQ National Market System (
