SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
I understand the intention of three day trades per week was to reduce the risk and losses incurred. Over the years, it seems to have actually exposed traders to more risk. Allowing no more than three round trip trades in five business days has created a burden on traders as well as brokerage firms. Traders who wish to trade in small amounts to build capital typically do not have access to the
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
Any new rules to regulating shorts would be very welcome as a retail investor. As far as I’m concerned, these are the biggest problem in enforcing REG SHO and regulation of the shorting market is the T2 settlement period which obscures net positions for the average investor. And the other is the blurred line of market makers and hedgefunds. Hedgefunds can easily parade themselves as “bona fide”
I've been investing all my life since childhood. Forcing me to liquidate my investments at the bottom of a recession would unfairly cause me capital losses and only benefit the exclusive 1% high net worth individuals that would benefit from leveraged funds. This is not in the fiduciary interest of the average investor. I'd probably as a result get out of investing in the
Hello FINRA,
It is critical, in a constitutional republic for free, and available market funds be available for all people. Retail investors such as myself who understand the caveats with leveraged or inverse funds should not have to have any additional oversight or regulation.
For your consideration, please leave the current safe guards in place in order to not exclude any potential investor
As an individual investor I trade many different leveraged ETFs and am fully aware of the risks. I have been trading for 20 years and am well educated about the markets. I also am a member of several stock market investment clubs. Please leave things the way they are now. Everyone should have the opportunity to invest as they see fit and we are all aware of the risks of trading and the potential
Since savings accounts are, for all intents and purposes, gone or making an amount of interest smaller than inflation in a good year, I should have every right to pursue investments that interest me even if my starting capital is a small amount. It's ludicrous to tell me I can't invest because I'm not rich enough. Public securities are just that . . . . public.
Dear Regulator: Leveraged and inverse funds are important hedges for me. Thanks to them my capital reached nearly its highest point in ten years. I've learned how to use them, and I know what I'm doing, so please leave my investments alone. Thank you. By the way it sounds like you know what is coming and when and are preparing for it. Please share your information. Thanks.
I have been investing for 30+ years and I use both leveraged and inverse products in my investment processes. These products allow me to make an investment decision with a minimal amount of required capital. I can express an investment viewpoint with a third of my cash in the case of a levered ETF while keeping two-thirds of my cash in hand. Not sure why regulators would want to hurt the &
