I do not need any governing body deciding for me how to invest. There didn't seem to be any concern over how retail investors spent their money in the stock market until January of 2021. Institutional investors repeatedly creating systemic risk by their gambling with derivatives are an actual imminent threat to our markets. They are the ones who need significantly more regulation and
I'm shocked and appalled at the idea of this. Why is it that the powers that be never fail at trying to crush the little guy? When I received notification from my Broker I had to call to verify because I just knew it was a scam to get my info. Is this not AMERICA? Let me tell you a little about me. I'm a High School dropout. I always wanted to be a rock star so my studies
I am very distressed to learn that someone is considering to place restrictions and hurdles to overcome for my ability to trade inverse mutual funds. Following advice of my financial advisor and educating myself about the S + P 500 index/inverse index, I have been using the strategy for several years. I AM PLEASED WITH THE RESULTS. I know the risk and reward of using inverse funds. To my
Options and other potentially complex investments represent one of the only ways that those without means may change their lives. Blocking everyday people from such channels is tantamount to constraining them to lives of poverty and lack. Why should only well-off people, often those who were merely lucky enough to 'win the birth lottery', be allowed to better their lives? Why should
Dear FINRA regulators: I oppose any restrictions to my right to invest. 1. If I chose a complex fund to invest into, it means I understand the risk and benefit of it after having done my research; otherwise, I would go with a standard investment retirement package. I can take care of my money by choosing where to invest without government oversight. 2. I should not be required to go through any
ONNX Store, a Phishing-as-a-service platform (PhaaS), is targeting Microsoft 365 (M365) accounts at FINRA member firms with an advanced social engineering attack known as quishing: a business email compromise (BEC) attack that uses QR codes in embedded PDF documents to redirect victims to phishing URLs.
I am concerned that broad strokes are being made to decide what is overall the right investments for the American public. More and more investments are being put in the domain of "accredited investors" and it is going to prevent the American people from being successful. People, not regulators, should be able to choose the types of public investments that are right for them and their
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to bring an important cyber-related development to your attention. The Cybersecurity & Infrastructure Security Agency (CISA) and the FBI issued a “Shields Up” warning this week regarding potential Russian cyberattacks to target U.S. organizations related to
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@firms-finra.org” or “@firms-sipc.org”. Neither of these domains is connected to FINRA and firms should delete all emails originating from these domain names.
T CAPITAL FUNDING, LLC600 NORTHLAKE BOULEVARD, SUITE 175, ALTAMONTE SPRINGS, FL 32701T&G PRIVATE CAPITAL LLC44 WALL STREET, SUITE 602, NEW YORK, NY 10005T. E. LAIRD SECURITIES, LLC79 OTIS AVENUE, ST. PAUL, MN 55104T. ROWE PRICE INVESTMENT SERVICES, INC.1307 POINT STREET, BALTIMORE, MD 21231T.R. WINSTON & COMPANY, LLC376 MAIN STREET, BEDMINSTER, NJ 07921-2613Mailing Address: P.O.
