My name is ShiouChin To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
My name is YuMing To. I am writing to oppose limitations on my investments. I am a knowledgeable investor who actively manage my investment portfolio prudently. I assess risk carefully and do the investment based on my risk tolerance. I should have the freedom to choose the public investments that are right for me and my family in order to achieve long-term financial security. Leveraged and
I fall into the category of investors which this regulatory notice is aiming to protect: I am a relatively young retail investor who has chosen to invest in complicated funds on a self direct brokerage. Therefore, I feel the need to discuss my experience with complex products.
I acknowledge that these funds are more complicated than conventional products. However, complication does not mean
Dear Regulators,
As an individual investor fully exposed to the business cycle through full-time employment, it is essential for me to manage my overall risk exposure via investments.
Plain-vanilla long-only equity and fixed-income ETFs and mutual funds have a high correlation to economic outcomes and labor markets; for example, nearly all of them crashed during the March 2020 bear market, at
Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
I, not regulators, should be able to choose public investments that are right for me. Why is it that investors such as Bill Hwang have access to unlimited amounts of leveraged derivatives through banks? How exactly is that fair to individual investors? This proposal will deprive individual investors of access to tooling that fund managers such as Hwang have access to and used to make substantial
I am a Financial Advisor with LPL Financial and have been in the business for over 30 years. I have been using Proshare inverse ETFs with client portfolios purely as a hedge in accordance to LPL firm guidelines and limitations. My clients are generally pre-retired or retired folks, none of whom one would categorize as super rich. I comply with firm requirements and limitations related to the
How dare you even think about making it more difficult for the general public to save for retirement. That you lump inverse funds along with leveraged funds is particularly damaging; you want the general public to try shorting stocks, really? You think that's less difficult than buying an inverse fund? Inverse ETFs are extremely important to my own trading, and have saved me more than
As prepared for delivery.
Essential Elements of Sound Capital Market Structure
Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of July 12, 1989, the following 16 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to
