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,

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