FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
FAQ regarding Reporting of Mortgage and Asset Backed Securities (Securitized Products)
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in personal losses. Protection of senior investors is a top priority for the Financial Industry Regulatory Authority (FINRA) and is the focus of several rules intended to thwart financial exploitation.
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.The rule would inappropriately extend FINRA’s oversight to RIAs who are already regulated by the SEC and state authorities. It would also create a two-tier system—imposing additional compliance burdens
