FINRA’s Member Regulation department is conducting a review with respect to products linked to the CBOE’s Volatility Index (VIX). The review will focus on the supervisory processes followed by firms to identify and mitigate sales practice risks associated with recommendations to non-institutional purchasers of VIX-linked products.
Summary
FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions.
The proposed rule text marked to show changes from the current rule text is
As long as its possible to sell a share short - but mark it as long - any additional reporting visibility and / or frequency will be diluted by fraudulent data. The only thing that matters is forcing delivery of securities at settlement. As long as its possible to ftd a security sold and never ever deliver it, while at the same time accepting the money for it - none of the rest of this [REDACTED
Please stop restricting investors from gaining access to ETFs with complex strategies including leverage and shorting sectors, stocks, commodities, etc. Increasing regulation just empowers the wealthy and financial organizations to be the only ones that can benefit from more diverse financial strategies which are needed especially now. I have built my retirement because of access to a broad range
It is highly discriminatory toward small investors like myself to limit our ability to invest in inverse and leveraged etfs. Small investors dont have the resources to short stocks and employ margin accounts to enhance their gains the way professionals do. An inverse etf allows you to hedge your portfolio during rising interest rates. If an etf goes against you all you need to do to protect
5/7/2022 ..Trying to freeze the market at a high - unrealistic price - will only destroy them. Lower prices are a good thing. It allows mostly young people - starting out - to establish a position at a better - more fair/value - price.
Have you noticed that markets go up and down? You should welcome vigorous price discovery.
Short sellers and inverse funds are the only force in the market that
I would just like to add to the regulators that if I'd known how many trillions of dollars the Fed was pumping into the stock market in 2009, 2010, 2011, etc., there is no way I would have been short 3x's if it was public. It was not public and that's a betrayal of the public trust. You are at fault for not making that corporate welfare policy public. You should be prosecuted for
Hello,
Everyone should be free to invest and take risks. I'm all for full disclosure. For example, disclose Point by point:
1, These are high risk investments.
2. The stock market goes up most of the time. Betting against it is risky.
3. They (some) lose value if held overnight.
I have made over 25% this year using these type of funds and wish to be able to continue. I own a
Investors should be free to make their own decisions in where they would like to invest their money, short or long term, however risky it may be, so long as the fund is honest. Small caps or OTC is just as volatile and risky if not more. Options trading is way more risky than leveraged ETFs as well. You limit retail's tools to hedge or make large gains by stopping us from using these.
I have done very well using leveraged funds. If you merely buy low and sell high, you can make far more money. It is easier and simpler that using options, for a small fee I let the fund do that. I also like inverse funds, which provides market liquidity and it is similar to selling short, but again easier for me. Please let me decide what, where, and how to invest. Please let me and my family
