I'm a responsible investor, taking calculated risk. Additionally, the primary reason for levered funds is an insurance policy against my existing portfolio of assets. It has a place in my portfolio and I think FINRA and the Govt should stay out of it.
I am writing to oppose restrictions being considered to apply to investors in leveraged and inverse funds. I have invested a modest portion of my assets in such funds as a worthwhile part of my overall investment strategy. I would not be considered a "large" investor.
I oppose the restrictions. I have a right to invest in whatever fund available to public. I only invest less than 1% of my overall asset in the leveraged funds to enhance returns. I should not go through any process of test.
Thank you.
FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
Please do not impose further regulations on leveraged ETFs. Investors such as myself use these vehicles responsibly to invest in targeted asset classes. We fully realize the risks involved, please do not restrict our ability to invest in these products.
Leveraged and inverse funds have been vital to protecting my family's assets during this downturn. The problem is not a lack of regulation. The problem is the government not cracking down on true fraud and constantly bailing out entities that make poor choices.
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The Securities and Exchange Commission recently approved two additions to the NASD's qualification and registration programs. The two new tests, which will be available for member use beginning January 2,
Hello, I was saddened to hear the news of regulations that are being considered. I understand where for the concern about protecting individual investors by restricting these assets from being sold. However, I would like to bring up two things that I think are overlooked - 1. The internet 2. Technology The internet now allows investors to easily gather information about these products and become
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:Identify and assess cybersecurity threats;Protect assets from cyber intrusions;Detect when their systems and assets have been compromised;Plan for the response when a compromise occurs; andImplement a plan to recover lost, stolen or
The Cybersecurity and Technology Governance section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) observations and effective practices, and (3) additional resources.
