Member firms should be aware of an ongoing phishing campaign involving fraudulent emails targeting executives and purporting to be from FINRA employees, with the goal of harvesting credentials. As indicated by the full, expanded email address hidden under a masked email display name, these emails are not from FINRA, and firms should delete them and consider blocking the fraudulent domains.
It is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. It upends Our Regulatory System: Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. The FINRA plan upends that principle, giving
John Q public should ALWAYS be able to choose what investments THEY feel is right for them....period. The USA is still a FREE COUNTRY and thus its citizens should always be free to choose their investment vehicles and strategies with NO special application, process or test to invest their hard earned money. As a FREE citizen, I know the risks that I am taking when I invest in any security that
Establish Regulations on Crypto with a new Standard (not old Howey Test) based on utility and on if they had used an ICO or not! Then once President has been established guidelines and legal actions can be taken. The legal issue taking up with XRP is not just! There is no set standard and to start legal action after 8 years is ridiculous. XRP Never had an ICO, they have all kinds of utility. Each
As a United States citizen with sound mind to make my own decisions on public investments that are right for me, I oppose the Financial Industry Regulatory Authority putting restrictions on what public investments I should be able to invest in. Public investments should be available to all of us and not just the privileged. I should not have to go through any special restrictions or approvals to
It sounds like you want to take away my choice and right to hire someone to take care of my investments. I am totally against this move. It feels like an intrusion into my life. An intrusion into the time and money I invested in setting aside monies to provide for my myself and my family in my retirement.
There is so much wrong stated in this proposed change!!!
The statement "This
As a single senior woman investor, I want my voice to be heard. This is my life savings we are talking about, as slim as they may be compared to wealthy investors. 1. Leveraged and inverse funds are mandatory to me especially in this declining market, as they act like a hedge to protect my investments. 2. I have a financial advisor because I am not astute in financial matters. Although I
Because I have a high degree of understanding of the inverse and leveraged funds, I understand why regulation is being considered. However, traders have always been and always should be responsible for their own investing knowledge and actual trades.
I am AGAINST:
Having to demonstrate a high net worth. There are plenty of traders out there with a high degree of trading acumen but low net worth
I as an investor not regulators should be able to choose the public investments that are right for me and my family.
Public investments should be available to all of the public, not just the privileged like Hunter and Joe Biden.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, especially like leveraged and inverse funds. I
Good morning,
I am writing to discuss the impact that limiting leveraged funds would have on me as a private investor. I, as a private investor, feel confidently that I have the knowledge and experience to make personal decisions of how I invest my own money. I do not feel that it is in the purview of regulators to make determinations as to where and how I am able to use money for long-term and
