Summary
This Notice announces, effective immediately, clarifications of interpretations of FINRA margin requirements regarding day trading (Rule 4210(f)(8)(B)(ii)).
Questions concerning this Notice should be directed to:
James Barry, Director, Credit Regulation, Office of Financial and Operational Risk Policy, at (646) 315-8347 or by email;
Joseph David, Principal Specialist, Credit
While many of the most common scams—such as relationship scams and government impersonator scams—are carried out by unlicensed individuals and might not directly involve accounts held at investment firms, the losses can impact the overall wellbeing of customers, as well as the value of customer accounts.
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Look FINRA, I can decide the right type of investments for me. I'm have made a large sum of $$ on complex investment vehicles and leveraged index ETFs. I don't need you to tell me where I can and cannot invest.
Yes, I am one of the privileged, but that doesn't mean that I should be permitted to invest in equities that other less fortunate and educated people
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
The funds prospectus makes it clear what the fund is doing and what you are doing with your money if you decide to invest. Please, do not pursue further regulation of these funds. The funds are performing as designed. Any limitations on such a fund creates yet another barrier for the retail investor to gain access to similar leverage that many more fortunately endowed elites have access to. We
the current laws allow the big brokers and hedge funds to make a fortune killing small companies. one highly shorted stock, inovio (INO) has life saving cancer and covid drugs in the making, but are being hampered by shorts. please put a stop to this. make everyone play by the same rules. find a better way to keep track of stocks and how they are borrowed. i think america, and traders around the
View frequently asked questions related to portfolio margining under FINRA Rule 4210.
SUGGESTED ROUTING*
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EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has issued Release No. 34-28347, containing proposed amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The proposal would expand
Kristin Chaffin partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design and leadership effectiveness.Before assuming her current role, Ms. Chaffin was head of FINRA’s Employee Relations, Investigations and HR Generalist team. She joined FINRA in June 2020 from Gallagher, a Fortune
