This is another disgusting overreach. Let people make their own decisions. If you really cared about people you would find a way to put a stop to the state lottery systems that consistently siphon cash from the less fortunate.
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
Summary
Member firms are increasingly using third-party vendors to perform a wide range of core business and regulatory oversight functions. FINRA is publishing this Notice to remind member firms of their obligation to establish and maintain a supervisory system, including written supervisory procedures (WSPs), for any activities or functions performed by third-party vendors, including any sub-
As long as people can go lose fortunes in Vegas, its absolutely asinine for you to try to tell people what they can and cant invest in. In Vegas, you're virtually guaranteed to lose money.. whereas with an investment, at least there is a calculable probability of profitability.
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Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).15c3-1c(a) Flow through capital benefits. Every broker or dealer in computing its net capital and aggregate
As part of FINRA’s program to monitor firms for compliance with the SEC’s Regulation M, FINRA’s Market Regulation department reviews over-the-counter (OTC) trading and quoting activity for prohibited purchases, bids or attempts to induce bids or purchases during the applicable restricted period, and for prohibited short sales during the five-day period prior to pricing the offering.
Bonds can be issued by corporations, local municipalities, government agencies and the federal government. Performing due diligence can help you assess the many characteristics that are associated with these fixed-income securities and evaluate overall suitability with your investing needs.
I'm curious. Since it is my understanding that you intend to limit investing to those with ample funds to invest and what you deem to be a good understanding of the investment markets, to protect people from themselves, will you do the same for the online gambling industry? People have been known to lose fortunes there too, not to mention traditional casinos.
All investing options should be open to people willing to take the risk. It is amazing the overreach that our government would like to put on it's citizens. But if you are connected or in political power, you can amass a tremendous fortune off of the knowledge and inside information. Do something constructive, put us back on the gold standard and enact term limits on politicians.
My investments, small as they may look to you, are made by a man who accepts the consequences of his decisions. This authority--appalled at my willingness to sit at this table and envious of the fortune it has brought me--wishes to rid me of both. It is absurd. With the false claim of protecting my money, you would rid me of my purchasing power by denying me the right to purchase.
