During my 40 plus years of trading and investing for both short and long term profits, I utilize both leveraged and inverse trading vehicles to balance my families portfolios in volatile markets. These are important vehicles which provide that investment strategy in balancing market action.
Regulators should NOT interfere nor have the authority to select/provide what investments are available to
I am totally opposed to any restrictions on the freedom to choose what securities I'm allowed to buy. If protecting the public from excessive risk is the goal, then there are overwhelming categories of securities that Regulators would have to restrict. We would have not a free market but a restrictive one. It is the individual's responsibility and right to determine how much
Generally, complex products as described in this notice should be available to individual investors ('retail') with some obligation on the brokerage to ensure the individual investor understands the structure and risks associated with the complex product. Some brokers do a very good job of this and others seem to just 'check the box'. I think it's
Comments: At every step along the way of purchasing a leveraged ETF or ETN asset, it is very clear that these products should be held for short term active speculative purposes. Every website you go to when researching the products immediately warns traders about the dangers of beta decay due to long term holding of such assets. I would argue that the risks associated with trading leveraged ETFs
FINRA should not impede retail traders. FINRA should instead regulate institutions to prevent them from taking too large positions all on one side as seen with so called "meme stocks". Institutions all have the same information, they all bet on the same side of futures and create volatility far in excess of their ability to cover positions. Through this practice of
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
It is common knowledge that markets are manipulated by large funds and privileged wealthy investors. Leveraged and inverse funds are the small investors way to level the playing field. People should have the right to make their own financial decisions. Information regarding risks is adequate to inform an investor who should take responsibility for their own actions. Passing a knowledge test does
I oppose the SEC Proposed Rule #S7-24-15 for the following reasons 1. It is a form of Central Control for the "government" to impose its judgement on investors about investment vehicles that play a key role in risk mitigation for portfolio managers. 2. It is way to impose additional costs on investors and barriers to market efficiency. When markets are made less efficient people will
Dear SEC, who gives you the power to impose, block or stop people from investing in the inverse or short position to the market? Before you did not stop Hedge Fund companies to leverage and rig the markets opposite way from traditional markets which always use to make investor money on the way up or just benefiting from dividends. Now that the market is actually starting to shake from over
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Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
