SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
May 2, 2023During this session, FINRA staff discuss the emerging trend of new account fraud, how bad actors are committing crimes through new account fraud, common practices to mitigate new account fraud, and applicable rules, regulations and guidance.Speakers:Blake Snyder, Senior Director, Financial Intelligence UnitGargi Sharma, Investigative Director, Special Investigations UnitCarmi Moser,
Hi, This makes no sense! High risk assets also have high reward potential! They have a place in the portfolio regardless of net worth! Don’t skew the field against the poor in disguise of protecting the dumb! If you want to screen dumb then have a financial savviness test !
Do not restrict me from investing in triple-leveraged ETFs. I'm an older millennial who got involved in investing later in life because financial literacy wasn't being taught in schools. I need triple leveraged investment products to catch up with my investing goals on retirement.
I am writing to support FINRA21-19. The markets should reflect reality, not be manipulated scam against the poor. Please support the integrity of our financial markets.
S. GOLDMAN ADVISORS, LLC599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022S.G. LONG & COMPANY283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328S.L. REED & COMPANY11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346S2K FINANCIAL LLC5950 HAZELTINE DRIVE, SUITE 305, ORLANDO, FL 32822SABADELL
Hello, I do not need the government to protect me. If I fail to understand how a financial product works it is not the fault of the government but the fault of myself as I failed to educate myself. I personally have done very well with leveraged products as I bought in during a market crash and sold a while later.
I strongly object to paternalistic obstacles to my investment choices. A much greater threat to investors is the permitted use of non-GAAP earnings by an increasing number of publicly traded companies. Work with other regulators to stop the blatant distortions of financial performance. Let investors chose the vehicles for their investments.
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Publication Date: August 11, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).15c3-1d(a) Introduction.15c3-1d(a)(1) This appendix sets forth minimum and non-exclusive requirements for satisfactory subordination agreements (hereinafter “subordination agreement
