Condon Wealth Management, Inc. Comment On Regulatory Notice 25-05
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William Rice 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 Notice 25-05
Dear Ms. Mitchell,
As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in Regulatory Notice 25-05.
2022073912501 Interactive Brokers LLC CRD 36418 AWC lp (2025-1748650794629).pdf
From January 2020 through at least June 2022, Interactive Brokers failed to report to FINRA accurate statistical and summary information regarding written customer complaints. Prior to at least June 2022, the firm’s supervisory system, including written procedures, was not reasonably designed to achieve compliance with FINRA Rule 4530(d). As a result, the firm violated FINRA Rules 4530, 3110, and 2010.
From July 2011 to September 2022, Interactive Brokers failed to timely report 91 regulatory actions and civil complaints.
Anonymous Comment On Regulatory Notice 25-05
This proposed update to the outside business activities disclosure requirement sounds great! The existing rules force financial institutions to overstep monitoring of employees' personal lives. For example, someone who has a hobby of buying Chuck E. Cheese tokens in bulk and then re-selling them on eBay to collectors should not need to disclose this activity to their employer.
Mark Finelli Comment On Regulatory Notice 25-05
Ms. Jennifer Piorko Mitchell Office of the CorporateSecretary FINRA
1735 K Street
Washington, DC 20006
Re: Request for Comment on Regulatory Notice25-05
Dear Ms. Mitchell,
Asan owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in Regulatory Notice 25-05.
Solebury Asset Management, LLC Comment On Regulatory Notice 25-05
As the owner of a Registered Investment Advisory (RIA) firm and a registered representative of an affiliated FINRA member firm, I respectfully oppose proposed Rule 3290 in Regulatory Notice 25-05.
James A Beindorf Comment On Regulatory Notice 25-05
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.