I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities,
like leveraged and inverse funds. I am fully capable of understanding leveraged and inverse funds
I support greater regulation and restrictions on retail investment in complexed investment vehicles. Whether it's FINRA, SEC or some other SRO, I think it would be helpful if retail investors were required to undergo some sort of certification or training process to verify their understanding of the risk involved with trading risky assets.
If I had to choose which instruments would
I regularly use leveraged and inverse funds to hedge my investments. They are an invaluable tool and I use them in a sensible and limited capacity. I am not a "high net worth" individual. I find it offensive that FINRA would even consider taking these away from regular investors. This would just be further proof that this game is "rigged" for the big players.
Comments: I believe that it is an overstep by FINRA to limit access to leveraged and inverse ETFs. By limiting access, FINRA is unduly infringing on the rights of free market participants. Providing education on these products to investors is more than appropriate, but limiting access would be an overstep. I, and all of the people I know personally, have a deep understanding of the
I am strongly opposed to any legislation that restricts or prohibits my free decision making ability to make investments as I see fit.
I'm an experienced investor and I both enjoy and am good at market research.
I can/do make decisions on my retirement investments on a weekly basis.
Anyone that is uncomfortable making investment decisions should consult a professional and common sense
I invest and trade in my Roth IRA account. The IRS prohibits any short positions in an IRA thus eliminating any opportunity of arbitrage except by using inverse mutual funds. Prohibiting investment in leveraged or inverse funds would cause investors like me great harm. I believe that I understand them well enough to avoid common pitfalls. In years past I held Series 6, 7 and 24 licenses and for a
I use leveraged and inverse funds sometimes to hedge or balance positions or respond to geopolitical changes: it is difficult enough to profit in the market without more unnecessary regulatory hurdles I have not encountered any of these ETFs that were especially opaque, hard to understand, or misleading: these products' labels do not need to be any clearer than they already are, nor
I have been trading complex products for 12 years, I am profitable and dont need you interfering in my financial future. If you wanna make me sign a piece of paper saying that I have read about the dangers, well, that is probably a good idea for the general public. So I dont mind. But do not force me into cool down., When I have complex options to protect me from any losing positions, your
The inverse funds are a key component of my investment strategy and help me to profit when markets are falling. Without this strategy I would not be able to easily manage losses and be at the mercy of the market. It is imperative that these funds be available for me to assure that my investments dont crash with the market as they are my only source of income in my retirement. I use them sparingly
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
