FINRA,
A little bit of background:
I am self taught in the domain of investment finance. The extent of formal financial education were a handful of economics classes and an accounting class in college. Year to Day, I am beating the S&P500 in my self-directed brokerage account because I taught myself how financial markets work with various resources publicly available.
My comment:
I as
To whom it may concern (FINRA Regulation):
I am writing regarding pending regulation(s) that are or may be under consideration that may restrict, limit or eliminate the ability of individual investors to buy and sell inverse and leveraged mutual/exchange traded funds. I am writing to voice my opinion on this matter.
I currently utilize inverse funds to diversify my portfolio. Inverse (and
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Finra Question 1: What implementation period would be appropriate to provide members with sufficient time to make the systems changes necessary to comply with this requirement? My Answer: Change needs to happen as soon as possible Finra Question 2: FINRA is considering whether daily or weekly short interest position reporting would be preferable. What are commenters’ views on the preferred
I am a Financial Advisor with LPL Financial and have been in the business for over 30 years. I have been using Proshare inverse ETFs with client portfolios purely as a hedge in accordance to LPL firm guidelines and limitations. My clients are generally pre-retired or retired folks, none of whom one would categorize as super rich. I comply with firm requirements and limitations related to the
Here's the deal, the claim of attempting to protect retail investors is not what will actually happen with your purported outline. By limiting the scope of exposure to "complex products" and other ETPs you are actually suffocating the ability for retail investors to gain the same access to investment strategies which specifically can facilitate the ability limit risks at the cost
FINRA announced today that it has sanctioned four firms—M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc.—a combined $2.6 million, including over $1 million in restitution to retail customers enrolled in fully paid securities lending programs and fines of $1.6 million for the firms’ related supervisory and advertising violations.
I am a retail investor and have been for close to 12 years now. In my opinion, short sellers should be transparent in their dealings and if I had the ability, I would close dark pool opportunities for institutions since it seems to be a way to manipulate the market data overall. Regulations should be as up to date with data tracking and not be in a delay such as with the Ortix report coming out
Inverse and leveraged securities are critical to an investor's ability to hedge portfolios and/or have an opportunity to make money in down or volatile markets, such as the one we are in right now. Without these ETFs, the only options we have for hedging are buying puts or short selling, which is infinitely more dangerous to the retail trader than owning an inverse/leveraged fund. By taking
Memo to SEC/FINRA regarding the purchase of leveraged investments Proposed Rule #S7-24-15 I appreciate the opportunity to comment on this proposed new rule/regulation. I have held ProShares in one of my portfolios since early 2016. Symbol USD. This investment is up 742.06% and has split once 3:1 which tripled my shares. It has performed well in up and down markets. It has enhanced my returns in
