For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
May 13, 2025
Ms. Jennifer Piorko Mitchell
Office of the Corporate Secretary
FINRA
1700 K Street
Washington, D.C. 20006
Dear Ms. Mitchell,
I am a member 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.
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.
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.
Boelte O’Hara Wealth Management
403 Virginia Avenue
Clarksville, VA23927
May 13, 2025
Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA
1700 K Street
Washington, DC 20006
Dear Ms. Mitchell,
