The purpose of restricting individual investors to purchase leverage ETFs by FINRA is questionable since my stock broker, Fidelity, already informs investors volatility and risks of losing capital seriously. Those who are trading leveraged ETFs are well aware of the consequences and ready to be responsible for high market volatility. In reality, most of novice individual traders don't
We should be allowed to invest in funds we like to invest. all regulator should make sure that funds disclose their investment practice clearly and funds are not doing any fraud or providing miss information to investor. regulators should not discriminate small investors but provide all exceptions to big investors assuming they are very well educated and risk aware.. infect big investors are on
Dear FINRA,
I am hereby writing to object to the rule enhancement articulated on Regulatory Notice 22-08, which proposes a restriction on investors' ability to trade complex products and options.
I clearly understand your concern about investors making uninformed investment decisions on options and complex products specifically to leveraged or inverse exchange-traded products. However,
As an investor, I am opposed to the additional regulations proposed in Regulatory Notice 22-08 restricting access to certain complex products.
There are sufficient requirements to provide information on the behavior of these investments and more than enough regulation on broker dealers to supervise the purchase and trading of these instruments.
We cannot regulate our way to more intelligent
Comments: I BELIEVE ALL INVESTORS SHOULD HAVE ACCESS TO LEVERAGED AND INVERSE ETFS. ALL INFORMATION WHICH HAS BEEN PROVIDED TO ME ABOUT THESE PRODUCTS OVER THE YEARS HAS BEEN VERY CLEAR IN DESCRIBING THE PRODUCTS AND THEIR RISKS. I HAVE RUN THE NUMBERS MANY TIMES USING HISTORICAL DATA AND FIND THAT LEVERAGED PRODUCTS CAN BE HELPFUL AND SOUND INVESTMENTS. TO DISALLOW THE PRODUCTS OR INTRODUCE
Could someone please inform FINRA that the US is well into the throws of a total societal/financial collapse, as is most of the rest of the planet. Adding layers of burdensome regulation and limiting the public' in which publicly traded securities they may or may not use for speculation, hedging or investment purposes is equivalent to rearranging the deck chairs on the Titanic after it
I should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged or those whom regulators arbitrarily deem worthy. I shouldn't have to go through any wasteful and inefficient bureaucratic process like passing a test before I can invest in public securities. The risks of leveraged and inverse
Aloha, as a small retail investor I would definitely NOT be in favor of any of any restrictions on my ability to buy and sell publicly-traded ETF's and similar common financial products, so long as the already well-known risks are plainly and honestly disclosed by issuers and brokers in any promotional materials. Trying to accurately determine who is and isn't capable of
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Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
Summary
FINRA has established a new Supplemental Liquidity Schedule (SLS).1 The new SLS, which members subject to the requirement will need to file as a supplement to the FOCUS Report, is designed to improve FINRA’s ability to monitor for events that signal an adverse change in the liquidity risk of the members with the largest customer and counterparty exposures. FINRA is issuing this
