The Neutral Corner – Volume 4—2023
While I am not a financial professional, I have been managing my own investments for over 40 years. Studying the financial markets and the available instruments is something that I do on a regular basis. I fully understand the risks of leveraged and inverse funds and have successfully used these funds to help me meet my financial goals as part of diversified investment portfolio. I do not feel
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members And Interested Persons
LAST VOTING DATE IS NOVEMBER 21, 1983
Attached are amended By-Laws of the Association which are being submitted to the membership for a vote. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-
FINRA Regulators,
I vehemently oppose limitations on my ability to buy or sell leveraged and inverse funds. You should not restrict or prohibit a private person's ability to invest and to make personal financial decisions.These funds help me hedge my investments against inflationary risks. I, not you sirs, should be able to make my own financial decisions. I do not interfere in your
FINRA is issuing this Notice to address certain requirements that apply to the per-share customer account statement values and dividend distributions of REITs and DPPs (collectively, "real estate investment programs") that are sold through broker-dealers, invest in real estate and do not trade on a national securities exchange.
The regulations are guaranteed to harm investors. Investors do not need protection from themselves. Investors who invest in “complex” financial instruments are individuals who understand the relationship between risk and reward. The proposed regulations will not deter individuals from making financially risky decisions. Instead, the regulations will encourage individuals to invest in riskier
While I agree there is increased risk to leveraged ETF's, I do not think they should be removed for investment by regulators. ETf's are a great way to make money in bear markets, and on certain sectors of the financial markets. I do believe in educating investors and warning them as much as possible about the increased risks and time decay of ETFs. Also any financial institution
Leveraged ETFs have been an equalizer for my middle class family of 5. I wont use money on margin, and leveraged ETFs have allowed me to significantly increase our familys financial security into retirement. We are a young family as my wife and myself are under 40. We understand the risks, and have been able to utilize these financial instruments in a beneficial way that no other options can.
As an individual investor, I take full responsibility for my investment choices. Public investment tools should be available to all, not just the privileged. Leveraged and inverse funds, options, etc. are important financial tools in the portfolio. I sometimes use them for risk management. I am strongly against the proposal to limit the trading of such financial tools. I do not want to have to go
My primary concern with this notice is the following statement: "whether the current regulatory framework, which was adopted at a time when the majority of individuals accessed financial products through financial professionals, rather than through self-directed platforms, is appropriately tailored to address current concerns raised by complex products and options." The concern is that
