Dear Sir or Madam, I oppose any limitations on my ability to buy or sell inverse ETFs. They play a critical role in protecting my family's retirement portfolio against market volatility. Any restrictions will hinder our ability to do so and may result in reduced retirement savings which could significantly modify our plans for the future. Thank you for your consideration.
I am often amazed by the selection of investment vehicles available to the average investor. As seasoned investor with almost 22 years of investing experience, I fully appreciate my freedom to choose which investments I make. Some products in question are a regular part of my well planned investment strategy. I am against the idea of restrictions on investments or requiring additional
NASDR has filed with the SEC a proposed rule change to create a dispute resolution subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), to handle dispute resolution programs; to adopt by-laws for such subsidiary; and to make conforming amendments to the Delegation Plan, the NASD Regulation By-Laws, and the Rules of the Association.
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FINRA has commented on the following topics.
Regulatory Obligations and Related Considerations
Regulatory Obligations
Effective liquidity controls are critical elements in a broker-dealer’s risk management framework. Exchange Act Rule 17a-3(a)(23) requires firms that meet the thresholds specified under the rule to make and keep current records documenting the credit, market, and liquidity risk management controls established and
(a) Pursuant to Section II of the Plan of Allocation and Delegation of Functions by FINRA to FINRA Regulation, Inc. ("Delegation Plan"), the Board shall appoint a National Arbitration and Mediation Committee ("NAMC").
(1) The NAMC shall consist of no fewer than 10 and no more than 25 members. At least 50 percent of the NAMC shall be Non-Industry members.
(2) The Chairperson
(a) Pursuant to Section II of the Plan of Allocation and Delegation of Functions by FINRA to FINRA Regulation, Inc. ("Delegation Plan"), the Board shall appoint a National Arbitration and Mediation Committee ("NAMC").
(1) The NAMC shall consist of no fewer than 10 and no more than 25 members. At least 50 percent of the NAMC shall be Non-Industry members.
(2) The
By creating barriers for individual investors such as myself it will make planning for retirement significantly more difficult and time consuming. For example, I prefer to invest in target date funds which do not require a significant time commitment but ensure I will be diversified and manage risk as I get closer to retirement. For individuals with less time they may not invest altogether and
I am a modest net worth investor but am familiar with so-called hedge funds.
I have used such funds to provide some hedging to my investment portfolio and consider them a key part of my financial planning.
A policy that tries to eliminate risk from investment decisions is doomed to failure and will, inevitably, create negative consequences.
I oppose restrictions to my right to make my own
