Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using the domain name “@gateway-finra.org.” The email asks the recipient to click a link to “view request” and provide information to “complete” that request, noting that “late submission may attract penalties.”
FINRA recommends that
FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
It does not make any sense to create legislation to make investing more exclusive, especially if it rules out the very people you espouse to "protect". The last thing we the people want from FINRA is to make investing yet more of an exclusive club for the elites. It is honestly disgusting that you are pursuing legislation in this domain given the glaring issues which have come
I urge you NOT to restrict ordinary investors from trading leveraged and inverse ETFs for the following reasons:
1. Inverse and inverse leveraged ETFs are often the only vehicles available to ordinary investors to hedge their cash and retirement accounts in a down market, or even to profit from down markets. Wealthy investors have many means to do this. Taking these products away from ordinary
It has been a matter of great satisfaction over the years to see how the cost have decreased and the options have increased or individuals who personally invest. Much of this has arisen as a result of competition in the markets and individual investor interest.
It saddens me to learn that the FINRA is seriously considering regulations that would reverse this trend by limiting investors through
Similar to your accredited investor restrictions in Alternative Investments, you are doing more than you are worth. If people are not researching/making informed investing decisions then that is their prerogative but why do you feel the need to restrict those of us that have? Another waste of tax payer dollars through a bureaucratic government agency pretend to play the role of parent
Hello, I heard about the information that you potentially limit the trading of some ETFs using leveraged and reverse strategies. I strongly be against it, because I believe it's my right to choose the public investments that suit for my family and myself, not the regulators. Moreover, these ETFs are important to my investment strategies. So, please respect the rights of individual
Any politicians that go against the average Joe. Will lose votes. We the peopleh ave a right to invest. We the people hire The Government. We can replace you all. If you go hard against Us We will vote you out. Think about it. Informed Voter Sir Mark L Erwin 1st
