FINRA regulators: Please do not add additional regulation to leveraged and inverse funds as proposed in rule #S7-24-15: Why? 1. These are ALREADY public products APPROVED by the SEC and INCLUDE clear risk warnings. Why impose higher hurdles that would PRECLUDE my ability to use these products. I am specifically concerned about the condition to demonstrate high net worth as I am a small investor.
The people / investors not regulators should be able to choose the public investments that are right for our selfs and our families Public investments should be available to all of the public, not just the privileged. As a investor it is our responsibility to understand what we invest in before we invest so the funds your looking to prohibit with restrictions from the retail investor or public
I believe in the public's ability to research and invest and not be hindered by yet more regulation and restrictions. The individual is slowly being pushed out of the ability to make investment decisions. Many financial advisors are mandated to create a client risk profile and that results in the individual having very little room to make adjustments. Allowing ever-larger advisor groups to
To whom it may concern, I have used leveraged and inverse funds within the past two years in time of high volatility to hedge against my portfolio. If the instruments are taken away from us, and allowed for use for only to special personnel then my right to choose my investments is essentially taken away. I understand that there are risks involved with the use of leveraged and inverse funds,
Hello, I am a retail investor who regularly buys and sells leveraged index fund products. I trade these funds based on a strategy I have developed with great research and care, and know full well the risks involved. Leveraged index funds provide retail investors access to position-sizing and diversification strategies that would be too onerous for such investors to implement themselves.
<p>Applicability of NASD Rules to registered representatives of subsidiary bank of member broker/dealer.<br/></p>
The applicability of Section 40 (Rule 3040) to situations in which a financial plan is delivered to a customer without an execution of a securities transaction.
<p>Clarification of <i>NASD Notice to Members</i>
<i>94-44</i> to situations in which a dually registered person maintains discretionary trading authority, determines portfolio changes, and prepares trade instructions for customer accounts and charges the accounts an asset-based fee.<br/></p>
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The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
I'm an individual investor who trades leveraged products and options on an almost daily basis. Leveraged products and options have become the cornerstone of my investment strategy and provide the income stream I need to live on in my retirement. I've spent over 12 years as an active investor and have put the time and effort into learning how such products work using all the
