Leveraged funds are important to my overall investing strategy. I understand the risks of investing in them and use them as part of a broader portfolio of investments to enhance my returns. In my opinion, leveraged etfs provide a MUCH safer alternative to many other common methods of increasing returns such as margin, options and investing in penny stocks. It would be unfair and unjust for
I resent that a government agency wants to take my right to choose what I wish to invest in. This is not (yet) a socialist country. Why do you think the people of this country are not smart enough to decide for themselves if an investment is right for them? Investing in a varied selection of assets is a way to PROTECT ourselves (portfolio) from certain types of market moves. Why should we be
Dear FINRA,
Leveraged ETFs are a relatively new entrants into the stock market, with the first fund being introduced in 2006. These ETFs give retail investors easy access to leverage that does not subject them to margin calls, or expire worthless like an option. Another innovation made possible by Leveraged ETFs, are inverse strategies. By providing investors with the ability to hedge their
Sirs, As a 35+ year registered Democrat I have come to realize my choice of parties has become nothing more than the nanny state writ large. My god, how stupid do you think people are, that they can't decide for themselves to invest/speculate/gamble in whatever they want, without YOU, unelected and overpaid officious elitists, telling us you're here to protect us from ourselves. I am
I believe that people should have the right to make mistakes, no matter how stupid. I don't believe any government should interfere with that right, absent fraud. As long as the information is readily available to make informed investment decisions, it's the individual's right to make decisions. People who buy these products are typically more sophisticated than those buying
Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
GUIDANCE
Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Financial
Legal and Compliance
Senior Management
Annual Audits
FOCUS Reports
Schedule I
Executive Summary
Securities and Exchange Commission (SEC) Rule 17a-5 requires broker-dealers to file certain financial reports with NASD within a specified number of days
To whom it may concern,
Leveraged and inverse funds are an important vehicle to my investment strategies. I believe I should be able to make the decisions on how to allocate my capital by myself, without a use of a 3rd party agency and be free to invest in a vehicle of my choosing. Please consider this letter as a voice against the action to limit the ability to freely invest in leveraged and
To whom it may concern:
I absolutely oppose any attempt to restrict my rights to invest. We live in a system of capitalism. I have all rights to determine how my hard earned money is invested. Regulators have no right to attempt to restrict individual investors from investment opportunities. Leveraged funds are a small part of my portfolio, but I have the rights to choose how and when I will
Dear FINRA committee,
Please note that it is important to allow individual investors the freedom to choose investment securities including leveraged etfs as it is used to manage returns and risks. Most people who are even aware of such etfs are sophisticated investors like myself who have the investment knowledge and its impact on portfolios. I request if you can please allow the free flow in the
