2023078835001 Tejinder Singh CRD 2547590 Complaint lp (2025-1748823607639).pdf
The Department of Enforcement alleges:
1. In 2023 and 2024, FINRA was investigating whether Respondent Tejinder Singh made material misrepresentations to improperly obtain a $38,541 Paycheck Protection Program (PPP) loan, the funds from which passed through his broker-dealer, and whether Singh had failed to disclose an outside business activity on his Form U4.
2.
Odyssey Personal Financial Comment On Regulatory Notice 25-05
Ms. Jennifer Piorko Mitchell
Office of the Corporate Secretary FINRA
1735 K Street
Washington, DC 20006
Re: Request for Comment on Regulatory Notice25-05
Dear Ms. Mitchell,
I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory Notice 25-05.
Craig Ruffolo Comment On Regulatory Notice 25-05
I write in opposition to the proposal.
If I understand correctly that “Investment-related activity” means pertaining to financial assets, including securities, crypto assets, commodities, derivatives (such as futures and swaps), currency,
banking, real estate or insurance, this seems too broad.
If I understand that the proposal would also require B/D's to approve each transaction in writing for each representative, that seems to amplify the regulatory burden. It introduces vagueness,
