Dear FINRA Regulatory panel,
Herewith I want to let you know I Veto any restrictions in regards to trading any kind of assets in the public domain with any company offering inverse funds, high yield bond funds or any other offered funds of any kind.
I am well aware in regards to fund or stock trading for more then 20 years.
I belief it should be to the choice of an individual how, when, what to
Dear FINRA Regulators,
I wish to weigh in on the deliberations regarding leveraged ETFs and complex products. As a retail investor who is managing my own portfolio, these products provide significant flexibility and opportunity to appropriately manage both reward risk related to market volatility. Additionally, when constructing a portfolio or adjusting it based on economic assumptions and
I--not you or other regulatory authorities--should be able to choose the investments suitable to me. Attempts to regulate and limit access to leveraged and inverse funds only harm equal opportunity and equality and do not level the playing field for investors. Requiring investors to meet certain requirements before accessing these products is a violation of liberty and the American way of life.
Dear Sir or Madam,
I am writing to you because I received a notice that I will be restricted to buy leveraged fund. I do not quite understand this decision because I am clear about what I am doing and understand the risk behind it.
Public investment should be available for everyone as long as they follow the rules and do not violate any regulations. I believe I have the rights to buy any
Sec. 11.2 The stockholder shall be entitled to a certificate or certificates in such form as shall be approved by the Board, certifying the number of shares of capital stock in FINRA Regulation owned by the stockholder.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
I see no reason to regulate what a person decides to do with their money. The government doesn't appear to have any restrictions on it's ability to manipulate the market on a daily basis as it does. The craps table isn't restricted or any other game in the betting business. Margin is allowed, shorting is allowed, and I'm sure there are other things big money is allowed to do.
I write to oppose any rule or regulation that limits leveraged ETF positions to one day or access to leveraged ETFs. I am a retail investor that has done a lot of research on leveraged ETFs, am comfortable with the risk, and have invested a portion of my portfolio that I am comfortable with in leveraged products and plan to hold long term. If positions were limited to a single day, I would be
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
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Executive Summary
The NASD is publishing this Notice to inform members of the terms and conditions of a Securities and Exchange Commission (SEC) staff no-action letter recently issued to the Chubb Securities Corporation (the Chubb letter), which sets forth the SEC's policy on broker/
