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To Whom it May Concern: I am writing in opposition to SEC Proposed Rule #S7-24-15 which would place unduly burdensome restrictions on persons wishing to invest in leveraged an inverse funds. This rule would require passing a test, showing high net worth, "cooling off" periods and other impediments that would do nothing to address the risk that regulators perceive in these investments.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 22, 1986
The National Association of Securities Dealers, Inc. (NASD), has approved proposed amendments to Schedule E to the NASD By-Laws that are intended to clarify the scope and application of the schedule. Schedule E contains various requirements applicable to the public offering of a member's securities or
Comments: I am a licensed 6,7,63,65 FA, it has been 17 years since I passed my series 6 exam. I have a BS in Business and a MBA. I have almost 30 years of banking and finance experience. Leveraged ETFs are misunderstood and misevaluated by regulators and investors. If you examine the returns of leveraged ETFs that track major indices you will find that while they do not offer a superior "
(a) Criteria for Receiving and Excluding Evidence
The Hearing Officer shall receive relevant evidence, and may exclude all evidence that is irrelevant, immaterial, unduly repetitious, or unduly prejudicial.
(b) Objections
Objections to the admission or exclusion of evidence shall be made on the record and shall succinctly state the grounds relied upon. Excluded material shall be
(a) Except as provided in Rule 12211, no party, or anyone acting on behalf of a party, may communicate with any arbitrator outside of a scheduled hearing or conference regarding an arbitration unless all parties or their representatives are present.
(b) No party, or anyone acting on behalf of a party, may send or give any written motion, request, submission or other materials directly to
(a) Except as provided in Rule 13211, no party, or anyone acting on behalf of a party, may communicate with any arbitrator outside of a scheduled hearing or conference regarding an arbitration unless all parties or their representatives are present.
(b) No party, or anyone acting on behalf of a party, may send or give any written motion, request, submission or other materials directly to
INFORMATIONAL
Margin Disclosure and Day-Trading Risk Disclosure Statements
Effective Date: July 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Day-Trading Risk Disclosure
I am a retail investor, and have a small part of my IRA accounts that I manage myself, while placing the bulk of the funds into index funds and the like. However, I believe that I should have the right and access to all the same financial instruments that professional investors do for the portion that I manage myself. From time to time, I use leveraged and inverse funds. This are risky and
I have previously submitted my thoughts but want to take a minute to reiterate them. Leveraged and inverse funds play a very important role in my personal investments along with our corporate investment strategy for clients. When used by professionals, for clients who understand them, they are very useful tools for actually reducing risk and enhancing returns. This should be left to the free
