I have used leveraged funds as powerful tools to hedge my portfolio and take advantage of certain periods in the market. In fact, I saved for my house down payment using a leveraged ETF and Im pretty sure its the only way I would have afforded a down payment as a first time homebuyer.
I think its already ridiculous small investors like myself cant invest in private companies just because were
Go ahead and regulate whether I'm smart enough to invest my own money. Take away the inverse ETF's and leveraged funds, but please let me have access to insider trading like the rest of you crooked politicians. Or maybe just send the rest of us every day Americans to prison like you did to Martha Stewart. OR you can let legislation pass that allows us to take our social security
I resent the thought that I cannot choose for myself what investment products work best for me. And I find it insulting, manipulative and corrupt that only those with privilege (high net worth investors) would be allowed to use these trading vehicles. I use these types of vehicles to hedge positions as well as to take advantage of down movements, since I can not use options in my IRA account. I
Sophisticated investor rules are outdated in the age of the internet. I have multiple degrees related to investment and financial analysis. Under the Sophisticated investor rules I cant invest in certain opportunities, and now you want to expand that? Excluding the average American from any investment opportunity does nothing but ensure that those who are already wealthy will continue to gain
Who does the government think they are to determine what public investments I as an individual Im allowed to make? All investments have been vetted by regulatory commissions and are valid, legal, investment instruments that have been made available for decades. The idea that you would impose conditions upon which a private individual can make an investment is essentially communism and entirely
To Whom it may concern,
I have concerns about proposed rule #22-08. I am private individual who has been buying and selling stocks, futures, and options for several years, and who greatly appreciates my ability to add to and hedge my portfolio in any way that the market offers. For example, buying a small amount of an inverse ETF is a quick and easy way to hedge an overly long portfolio during a
REQUEST FOR COMMENT
Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Closed-End
Industry Governor (Floor Member)President and Co-Head, Merrill Wealth ManagementGovernor Since 2024Committees: Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceMerrill LynchPresident and Co-Head, Merrill Wealth Management (2023 – Present)Managing Director (2007 – 2010 and 2014 – 2023)Director, Vice President (1994 – 2007)
Re: Request for Comment on Day Trading Rules (Regulatory Notice 24-13)To Whom It May Concern:Jake P. Noch Family Office, LLC. (“JPN Family Office” or “we”) appreciates the opportunity to comment on FINRA’s review of the rules governing day trading and pattern day trading (the “Rules”). We commend FINRA for periodically reassessing the Rules in light of evolving market conditions, technological
Re: Comment on FINRA Regulatory Notice 25-05 – Proposed Rule 3290 Submitted by: Desiree Moreno Pineyro Date:05/05/2025To: Jennifer Piorko Mitchell Office of the Corporate Secretary Financial Industry Regulatory Authority (FINRA) 1700 K Street, NW Washington, DC 20006Dear Ms. Mitchell,As a fully licensed financial professional and manager with Series 7, 66, 9, 10, and 31 registrations, I am
