I have the sole ability to choose what investments I want to pursue. I oppose any restrictions of my right to invest in any public investment available in the market place. It is ridiculous to have to pass a special test so I may invest in a public security. If/when I invest in a leveraged and/or inversed fund, I do understand the risks, my goodness I am literate, educated, and capable of
Please understand the consequences of the proposed rule, I need flexibility on investment opportunities and this rule could stop my ability to determine my own investing strategy. I don't need a certification to make the right decision on how I should invest my own money. My money, my risk, no need for anyone else to be involved. Please do not overact because some people play the market and
I oppose restrictions to my right to invest. I, not regulators, should be able to choose the public investment(s) that are right for me. I should not have to go through any special process, like passing a test, before I can invest in public securities. I am 100% capable of understanding leveraged and inverse funds, as well as the risks that come with investing in them. I do not need a regulator
GUIDANCE
Portfolio Margin Risk Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Options
Portfolio Margin
Portfolio Margin Risk Disclosure Statement
Rule 2520
Rule 2860
Executive Summary
As announced in Notice to Members (NTM) 07-11 (February 2007
(a) Each member shall promptly report to FINRA, but in any event not later than 30 calendar days, after the member knows or should have known of the existence of any of the following:
(1) the member or an associated person of the member:
(A) has been found to have violated any securities-, insurance-, commodities-, financial- or investment-related laws, rules, regulations or standards of conduct
I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged. As a former Certified Financial Planner for nearly 30 years I know about market and investment risks and understand the complexity of trading leveraged investments.
I shouldn't have to go through any
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
I oppose any restrictions on my trading / investing activity. Leveraged and inverse funds are just a fraction of my overall portfolio but play an important role. With the proper rebalancing they can be used as a long term investment. It's easily to learn about leveraged ETF's online or with books. Let the free market decide if leveraged funds are worthy of existing without regulations.
I am concerned about potential regulations that would limit access to leveraged and inverse funds especially for small investors. I find these funds useful to hedge my portfolio while preserving cash. They are a useful risk management instrument when used appropriately. Rather than place burdensome restrictions on investors, FINRA might consider requiring more transparency from companies issuing
It is not regulators' place to decide how I assess risk and where I decide to invest. A leveraged fund is not a threat to the investing population or my investment strategy. It is a part of my strategy, and one I deploy understanding the risks involved. That's my job as an investor to manage. Just like regulators can't keep me from buying a house that's a risky
