I am an active individual investor who uses leveraged and inverse ETFs as a component of a diversified portfolio, and I vehemently oppose restrictions or other qualification requirements for individual investors trading in publicly traded inverse and leveraged ETFs. I am fully capable of reading the prospectuses and evaluating the risks on my own as well as determining the strategy to implement
The proposed rules will add more regulations that are not needed. As an individual investor I enjoy access to various products that can be used for any strategy I want to employ. Sometimes a strategy will involve a leveraged or inverse funds, sometimes it maybe about involving cryptocurrency, sometimes it is just about having access to a specific sector.
Before making any investment every
I am very concerned that I have heard that regulators are contemplating putting new requirements on individuals that want to invest in leveraged or inverse funds. I am an investor that has been investing in various stock, mutual funds, and ETFs for over 50 years. The advent of leveraged and inverse funds through the use of ETFs has greatly enhanced my capability to improve my investment returns
Thank you for the opportunity to comment on the proposed changes to "Complex Products" like L&I Funds, etc. Apparently once again the government thinks that all Americans are idiots. Concern that investors may be "confused" by "complex products" - I find this attitude highly offensive. I would very much prefer that you leave
To whom it may concern;
It is deeply disturbing that thee are proposed limitations on leveraged and inverse ETFs being discussed. Although concerns are valid that these investments do carry increased risk, anyone who does their due diligence reading the forms and prospectuses and looking at the one, five, and ten year charts can see whether the investment is a hedge/short term only (most inverse
I am a retail investor and have been trading various of these “complex” products for well over a decade (leveraged/inverse ETF’s and options). I find the premise of this Regulatory notice to be highly suspect – that retail investors are not sophisticated enough to be able to trade these PUBLIC instruments and should have sufficiently high impediments put in place to discourage or bar their use (
As an RIA for over two decades, I want the ability to use whatever tactical strategies I see fit for my clients as well as myself. I have used inverse funds within hedging strategies since the 1990s to no ill effect for my clients. They are extremely useful tools for hedging against large market losses, especially within Long/Short strategies. With the advent of cannabis, crypto, day-traders, and
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the District 2 seats on the West Region Committee are the only contested seats. Therefore, only firms that are members of FINRA in District 2 as of the close of business on Monday,
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Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
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