I have just been made aware of FINRA's proposal to limit investing in certain securities by the general public. I understand the concern that uninformed investors could be harmed financially by making ill-informed decisions on these trades. I myself went through something of a learning curve, and lost a bit at first. I also never invested more than I could afford to lose, either on inverse
I have been investing - on my own using my own methods - for over 30 years and don't need the Government to tell me how to do it. I fully understand the risks of leveraged and inverse funds and us them diligently as part of a balanced portfolio. I do not need additional regulation imposed on me. In fact, it is my current positions in leveraged inverse funds that is protecting me in the
The proposed rule will negatively impact many investors that don't meet the qualifications. The rule will only benefit the wealthy. Making qualifications on how people can spend their own money benefits only the rich and opens up channels of discrimination. I currently use a 3x leveraged inverse fund to hedge my portfolio. If the "demonstrate high net worth" is the same as the day
As an amateur investor, I find leveraged and inverse funds to be a huge help in complementing my investments and hedging against falling markets. I am WELL aware of the risks associated with leveraged and inverse funds, as my broker often posts warning statements on the trade screens when I buy these funds. Leveraged and especially inverse funds offer me an "all in one" product that
08-52 - SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders
Dear Sir or Madam,
I am writing to express my fear and displeasure in relation to the regulations being considered by FINRA that would prevent investors like myself from accessing products like leveraged ETFs.
I have worked for a decade in the financial industry designing systematic financial products and am a CFA charterholder.
I, like many others, have held positions in leveraged investments
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 2, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:
Symbol*
Company
Location
AIMG
I have been investing for over 30 years. I have a passion for studying the markets and paying attention to the economy and market cycles. Over 30 years I have personally experienced the best bull markets and bear markets of the past 75 years. If there is one thing I have learned, there is NO reason to be bullish (long the stock market) 100% of the time, and there is No reason to be bearish 100
