Hi,
Investors should be able to choose the public
investments that fits my investment goal. I understand the risks and responsible for the consequences.
Public investments should be available to all of the public,
not having to pass a test. Its my own money at risk and shouldnt be restricted on when I can make the trade. I have no influence on the bigger market like the CEO of
To Whom it May Concern,
I am totally opposed to the proposed regulations or any part of them that limit my ability as a small private investor to invest in Exchange Traded Funds. You are throwing away my primary ability to make money in the future. I do not understand your desire to regulate my ability to invest when there are many other investments that have equal or more risk. This is
I am a sophisticated investor and make my own investment decisions. I have used inverse and leveraged funds for about 12-15 years. I manage my own investments and I do not want Regulators or anyone else telling me what I can and cannot purchase and sell. Leveraged and inverse funds play an important part in my investment portfolio. I also trade weekly options and do not want anymore restrictions
June 13, 2006
On March 15, 2006, NASD published an OATS Report entitled NASDAQ Exchange Registration – OATS Reporting Changes. This article discussed several OATS issues relating to NASDAQ’s operation as an exchange, including NASD’s pending rule filing proposing to establish rules for the trade reporting of transactions otherwise than on an exchange through a new NASD facility, called the Trade
As a retail investor, who has been actively trading in the last 2 years and these regulations are very much targeted at, I do not agree with the proposed rule/guidance changes. FINRA has already placed many barriers to retail investors in the form of PDT rules, $25k capital requirements, etc. At no point in my journey as a new trader have I felt that the restrictions benefitted me or protected me
I am an individual investor and have been trading since 1993. I have been through many difficult markets and I have increased my net worth many times over.
I have some of my money with a M.L. Wealth Advisor which I pay fees and I have been beating them hands over fists for years. Perhaps you should consider restricting Wealth Advisors as well.
Background
Consistent with the transparency goals of FINRA360, FINRA, for the first time in 2018, published a statistical overview of the broker-dealer industry based on the data it collects in the course of its work. This report, called the FINRA Industry Snapshot 2018 , was the first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA
Gene DeMaio is the Head of Regulatory Services Management in FINRA's Market Regulation and Transparency Services (MRTS) Department and is responsible for managing FINRA’s relationships with securities exchanges and other entities for which FINRA performs regulatory services. Prior to this role, Mr. DeMaio led the Options Regulation and Trading & Execution Examinations
Im disappointed yet again that restrictions are being considered to limit ordinary citizens from trading leveraged index funds like TQQQ. These funds are volatile, which is critical to my investment strategy. Its just another way to keep the economic divide in our county and keep effective investment strategies out of the hands of the poor. I strongly opposed this two years ago, and I strongly
I am very concerned that you are thinking of taking away import investing funds from the general public like leveraged and inverse funds. These are important investing products that all investors should have access to trade not just privileged investors. Stop trying to limit what is available to me as an investor. These leveraged and inverse funds are very important to me and many retail
