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SR-FINRA-2021-018

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.

Gary P. Ruchin Comment On Special Notice – 6/30/21

Comments Regarding Effective Methods to Educate New Investors. I think one of the first places to start would be to get an effective basic investor training program as part of every single high school curriculum in this country. Most schools seem to instruct so that the student can pass a test, not necessarily be educated about financial literacy. The last time I was able to present a basic investor training program at my local high school was approximately 15 years ago (I used the high school educational program supplied by the CFP Board of Standards).

2021071153001 John Swon IV CRD 5591686 AWC va (2021-1628209203753).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071153001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Swon IV (Respondent) Former General Securities Representative CRD No. 5591686 Pursuant to FINRA Rule 9216, Respondent John Swon IV submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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