FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding securities arbitration.
May 13, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Commenton Regulatory Notice25-05Dear 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
May 13, 2025Ms. Jennifer Piorko MitchellOffice of the Corporate Secretary FINRA1700 K StreetWashington, D.C. 20006Re: Request for Comment on Regulatory Notice 25-05Dear 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
Boelte O’Hara Wealth Management 403 Virginia Avenue Clarksville, VA23927May 13, 2025 Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1700 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear 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
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.Fundamental to the fiduciary relationship that exists between our firm and our clients is the trust that our clients have that their
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Trading and Markets
Debt Securities
Operations
Rule 7000 Series
TRACE Rules
Executive Summary
On March 6, 2007, the Securities and Exchange Commission approved an amendment to Rule 7030 relating to the availability of TRACE
May 12, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate SecretaryFINRA 1735 K Street Washington, DC 20006 Re: Request for Comment on Regulatory Notice 25-05 Dear Ms. Mitchell,I am an Investment Advisor Representative of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment the newly proposed
Summary
FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized access to firm systems and encrypting or otherwise accessing sensitive firm data or customer information, then holding that hijacked data for ransom. Some ransomware attacks have become significant threats that include theft of data
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
