FINRA has seen a recent significant spike in investor complaints resulting from recommendations made by fraudulent “investment groups” promoted through social media channels. Complaints describe bad actors, posing as registered investment advisers, who advertise “stock investment groups” on Instagram and other social media channels and then turn to encrypted group chats on WhatsApp to communicate with interested investors and pitch investments.
To gain access to the FLEX dashboard within FINRA Gateway for the first time to subscribe to FLEX, please contact your firm’s Super Account Administrator (SAA). The Accessing FLEX on FINRA Gateway Quick Reference Guide provides additional instructions if needed.Once granted access to the dashboard, the Firm CE Admin can take the following actions. For further instructions, please view the
I believe in education, not restriction.
New investors need to fully understand the risks, why it is best to only commit a small fraction of their overall available funds, NEVER go on margin, and never go all-in, and understand how the overall market can seriously affect or influence the outcome of ones leveraged trades.
But I believe that does not mean these ETFs should be restricted which
Dear FINRA, I am dismayed to hear of your plans to impose restrictions on the types of public investments that I can invest in. I am an adult and you are not my parents. I am capable of making my own decisions about what I buy and understanding what I buy. Even if I weren't, it is still wrong for regulators to try and decide who is able to participate and who is not. I urge you to
I am appalled at the suggestion of limiting the free market. I - not regulators - should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privelaged.
I shouldn't have to go through any special processes like passing a test before I can invest in public securities. I am capable of understanding my
Dear Regulators: Should you limit my ability to hedge my long positions with INVERSIONS, it is tantamount to taking away my health insurance! Over the years I have effectively, and conservatively, used inverse equity positions as insurance against falling markets. In the markets TODAY, without the use of INVERSIONS I would be ruined, or out of the market. It is unwise to drive small and medium
I have managed my portfolio myself and have outperformed the market for 2022 I have done this in no small part to the downside protection offered by inverse ETFs. They allow the average investor to take short action in the market without the necessary headache of a margin account. Attempts to restrict this are misguided and will only hurt the smaller investors they intend to help. Inverse ETFs
I'm offended by the arrogant supposition that investors are somehow incapable of managing their investment risk and trading, investment, and hedging strategies. Leveraged and inverse funds are valuable and innovative tools that actually allow prudent investors to decrease/manage risk and improve tax efficiency. Any regulatory attempts to restrict the availability and utility of these
I do not consent what you regulation team is traying to do, impose different ruls for a sertan group of investors.
I do believe in equality and fairness and a plain field for everyone more when it come to investing.
I do use and need this instrument as a part of my portfolio strategies.
This type initiative magnficate the miss trust in the system in place.
Please reconsider you action before its
To whom it may concern: FINRA Regulatory Notice #22-08 comment. Why is it that these attempts to regulate retail investors on the investments noted in the notice only seem to occur when the retail investor that is prudent is being rewarded with market returns? Where were the regulators when the Federal Reserve so interfered with the markets as to cause retail investors significant losses for the
