My investment strategy uses a systematic rebalancing of ETFs, some of which are leveraged ETFs. I fully understand the risks of these leveraged ETFs, but with a disciplined quarterly plan of selling when gains have exceeded a threshold and buying when losses have exceeded a threshold, the greater volatility of these leveraged ETFs produce better performance over the long term.
I am not a Day
Hello - It has been brought to my attention that FINRA is considering taking action against "complex products" which include leveraged and inverse funds. Leveraged funds are important to my investment strategy. I use them as a limited part of my portfolio with the goal of seeking enhanced returns. It should be my option to choose which investments are right for me and my family. I'
Occasionally, I have used "complex investment products," such as leveraged or inverse funds in my portfolio for specific purposes. As a retired person, I need growth in my investments to fund my living expenses and so far, 2022 has not been very kind. One bright spot in my portfolio has been the ProShares ETF that shorts the 20-year treasury bond which produces a return in a
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14
To Regulators,
I staunchly oppose the proposed requirements to invest in leveraged ETFs and funds. I have invested in these funds for over 10 years and am fully aware of the risks. I am capable of reading the prospectus and understanding these risks. As a former financial advisor and principal, I have ALREADY passed a series of tests that prove my investment knowledge. However, even if I had
INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Internal Audit
Legal & Compliance
Municipal/Government Securities
Senior Management
MSRB Rule G-37 Exemptions
Political Contributions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is publishing a National Adjudicatory Council (NAC) decision in which the NAC
By Kara Williams and Gargi Sharma
Here is a look back at a few key topics related to anti-money laundering (AML) obligations that rose to the level of being included in FINRA’s 2023 Examination and Risk Monitoring Report. These threats continue to be prevalent today and remain as areas of focus for FINRA’s Complex Investigations and Intelligence (CII) section.
One was manipulative trading in
I am very upset to learn of this proposal. Such ETF's give me a compact way to invest in a group of securities vs. individually, as PART of my portfolio, however I do BOTH, also buy individual securities. I'm very capable capable of understanding leveraged and inverse funds and their risks and do not need or want to have too pass some test to prove it that is so insulting and invasive!
Hello,
It is important for all investors to be able to access complex and leveraged products without discrimination. By placing a limit on retail investors, we are limiting their ability to make conscientious and smart decisions, which reduces their ability to succeed as investors. By removing the ability for the public to by all public investment products, FINRA is furthering the development of
To FINRA administration: I OPPOSE the FINRA Regulatory Notice #22-08, which would limit my right to invest in inverse and leveraged funds which would threaten my financial objectives as an investor. I have been trading securities and funds in my personal and retirement accounts for over 30 years and should be able to choose the vehicles which I feel are appropriate for my portfolio and am aware
