It is critical that all investors and not select few institutional traders or prescreened individuals have access to all instruments helping us protect our portfolio and retirement funds. Leveraged and inverse funds offer critical ability to reduce our portfolio beta in the times of volatility and control broad risk exposure without complex instruments like options or betting on individual
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. Explain that you are capable of understanding leveraged and inverse funds and their risks. I should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not
I am writing to comment against passage of proposed rule #S7-24-15. As a retiree the use of inverse and leveraged funds are important vehicles for managing risk to my retirement. They provide diversification that is not available in any other products. I do not need to be protected from using these products. Indeed if these products had not been available to me my retirement portfolio would be
I do not feel that I should be restricted or hampered from investing in these types of funds just because someone (who doesn't even know me) feels I'm not capable of undrestanding the risks. I also feel that I should not have to go through any process that will make it more difficult for me to continue to invest in these types of funds. As such, I strongly oppose restrictions to my
I oppose government mandated restrictions on types of investments. I feel it is my right to choose what type of products to invest in, including leveraged and inverse funds. These funds are extremely important to my long term investment strategy, especially as it allows me to keep emergency cash funds more easily accessible. I understand my risks when investing in any product, and should be able
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I am very concerned that you are considering placing more restrictions on my ability to invest as I see fit. A perfect example is with the bear market we are now in, without inverse ETFs available, I would have no choice but to sit in cash. The deck is already stacked too much against the small investor. I understand the risks of leverage ETFs, but I have used them, and I consider them a
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning important organizational or operational changes, such as mergers with or acquisitions of other broker/dealers or the acquisition of a significant electronic data processing system
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning
