Regulatory Obligations and Related Considerations
Regulatory Obligations
Exchange Act Rule 13h-1 (Large Trader Rule) requires “large traders” to identify themselves as such to the SEC, disclose to other firms their large trader status and, in certain situations, comply with certain filing, recordkeeping and reporting requirements. These requirements help the SEC identify large traders and
Dear Sir / Madam,
I consider it my right to invest my earned funds exactly as I prefer. Ive worked hard to earn these funds and take exceptional care before placing any cash into a particular investment.
The idea that Im intelligent enough to have excess cash to invest but not intelligent enough to invest that excess cash is reprehensible to me.
My wife and I review our portfolio positions on a
Blocking the ability of the general public to buy cryptocurrency funds or an other publicly traded stock/share limits my ability to freely access the entirety of the public securities markets. Furthermore, singling out complex products with onerous investing regulations for the investment of securities categorized as 'complex' again limits the general access to the designated security
First I want to say that the money I use to invest or trade the market is mine and I should be able to use it as I see fit. I often use inverse funds to hedge or take advantage of short term pull backs in the market. It seems to me to be a lot easier to buy an inverse fund than to acquire shares to short or use an options strategy. I also often use long leveraged funds to take advantage of the
I am fully capable of choosing the investments appropriate for my situation. I should have the right to invest and take risk in anything legal investment that I see fit. It is my risk, no FINRA or anyone else's risk. Anyone investing knows they are taking the risk to lose some or all of their capital. We do not need special processes or tests to take. I already signed documents with my
I fail to understand why this issue has resurfaced. I do not feel that I need financial advisor or someone to protect me from myself. This very dangerous territory. If I should not invest in inverse or leveraged funds, maybe I should not invest in start-ups, or penny stocks, or any stock that does not meet with a regulators political opinion. We have far too much WOKE control now.
I have used
To whom it may concern, Although regulations within a society are important, I disagree with regulators limiting an individual's ability to choose publicly traded investments. Leveraged and inverse funds carry increased risks, but it is an individual's right to invest in them. As an individual, I am perfectly capable of understanding these types of funds, however, if I choose to invest
I believe all investments should be available to the public; imposing additional restrictions on leveraged and inverse funds is simply a way to preclude the public from investing in good vehicles, essentially reserving these investments for only the wealthy and privileged, which is contrary to the American ideals of justice and liberty for all. I have no problem understanding the theory, trading
Dear FINRA professionals. Please do not take away my ability to invest in leveraged funds. I have held QLD to my great benefit for many years. Please do not take away my ability to hedge my investments with inverse funds. They are a valuable tool in times of uncertainty.
There are LOTS of really important market to spend your effort fixing -
- Disallow 12b-1 fees
- Make private exchanges disclose
To whom it may concern. Leveraged and inversed funds are an important hedge in any stock traders bag of tools. Without them, traders could be left without important hedges. Charlie Munger of Berkshire Hathaway recently said; 'We have people who know nothing about stocks being advised by people who know even less.' He is correct in the implication is that if you're going to regulate
