Sec. 4.1 The property, business, and affairs of FINRA Dispute Resolution shall be managed by or under the direction of the Board. The Board may exercise all such powers of FINRA Dispute Resolution and have the authority to perform all such lawful acts as are permitted by law, the Certificate of Incorporation, these By-Laws, or the Delegation Plan to assist FINRA in fulfilling its
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6120 (Trading Halts) to conform to recent amendments to the NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks and to make technical and clarifying
Hello,
As an active investor, recently retired, my family and I depend on intelligent use of leveraged ETFs to grow and sustain our portfolio.
I oppose any restrictions on retail investors to use leveraged, inverse or volatility index related ETFs.
These leveraged ETFs are simply a reasonably straight forward alternative investment, which generally consists of options contracts related
It's no ones business what I spend my money on as long as I'm not hurting myself or others. The government needs less restrictions, needs to quit taxing us period, let alone the triple taxing us the do. The government is hurting the very people they were elected to protect. All while claiming its for our benefit. What a sham! If they really cared about the people they work for, they
I recently learned of Finra's interest in taking the choice of how an individual investor wants to invest away from them. Regulators should not have the ability to limit how an individual wants to invest his/her funds. There are already plenty of government regulations that limit how much we can invest in tax deferred options. The government should also not limit investment options to just
Hello. I beleive we can make our own decisions to our investments, this includes leveraged funds. I use them for leverage and hedging, both important elements for a good financial plan. Law markers should look at oher things like dishonesty amoungst the people that make the markets.
I dont think they should be allowed to partisipate in the makrkets.
I oppose this planned restriction on my right to invest in public investments.
The "little guy" should not be prohibited from investing in leveraged and inverse funds - we are just as capable as wall street of doing research and looking out for ourselves.
implementing this new restriction would just be another case of stacking the deck in favor of wall street professionals.
I employ a mix of stocks, and both leveraged and non-leveraged ETFs to achieve investment goals for over 10 years. ETFs provide a facile means to establish both long and short positions when markets reach extreme levels. Non availability of inverse and leveraged ETFs would make establishing planned portfolio positions difficult, if not impossible.
My family's long-term investment plan includes leveraged ETFs. Our financial decisions have been made under the assumption leveraged ETFs would be available in the future. The SEC has already approved these funds. We don't need FINRA to hold our hands. Please don't assume you're smarter than we are.
