Hello, I am writing to oppose restrictions on leveraged index funds. I invest in leveraged index funds. I know that leverage entails greater risk. However, I feel that it is important for investors like me to be able to make our own decisions regarding these instruments. Personally, I look at the past performance of the fund and the index before making my decision. I also consider my own risk
Summary
The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan Lawhead, Vice President and Director – Appellate Group,
Background
FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry. A growing number of FinTech firms have been embracing new technologies, pioneering innovative products and developing new client-oriented financial services business models. Many traditional financial service providers are also rethinking their business models,
To whom it may concern, As a new retail investor, I want to see more transparency in our markets. I've learned that big financial institutions are abusing their privileges given to them; most notably their use of dark pools and naked short selling. An effective way to earn back the trust of retail investors is to put these often illegal practices on the forefront so we can find out what is
Conflicts of interest can arise in any relationship where a duty of care or trust exists between two or more parties, and, as a result, are widespread across the financial services industry. While the existence of a conflict does not, per se, imply that harm to one party’s interests will occur, the history of finance is replete with examples of situations where financial institutions did not
I would like to express that there should NOT be any regulatory restriction for regular investors to have access to leveraged and inverse funds.
In my opinion it should be me, not regulators, that control my ability to select investment options that are right for myself.
It is my belief that public investments should continue to be available to the entire public, not simply the privileged
To whom it may concern at the Financial Industry Regulation Authority,
I am aware that you are planning to ban the ability of some citizens of this country to be able to invest in complex investment funds such as leveraged and inverse investments. I believe that I should be who decides how I invest my money and not a government agency who does not know me or how or why I invest in these funds. As
I am writing in regards to possible legislation which would limit the use of leveraged and inverse ETF's. I ask that you please do not limit or get rid of these ETF's. These financial instruments have given me the ability to grow my retirement account faster and provide supplemental income for my family. If you want to put an additional disclaimer that investors are required
Dear regulators,
I should be able to choose publicly available investments that are right for me and my family. This filling is an over reach. Ordinary Investors like myself and others are much more sophisticated, informed, educated, and savvy than previous generations. With the the prevalence of Fintech platforms and the Internet financial education has never been easier to obtain, and reliance
I strongly disagree with limiting the leveraged and inverse fund. Firstly, USA flaunt it is free market all the time. If regulators decide to do so, then whats the difference between USA and China. How can USA complain about the China is not free market? USA is not free market neither. Since 2020, FED has infinitely printed money in the name of saving economy to pump and manipulate the financial
