Discussing money management and investing strategies might not seem romantic, but managing a relationship is hard enough without having to fight about money. If you’re thinking of marriage or a long-term partnership, it’s important to discuss financial goals, savings, investment strategies and risk tolerance levels.
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
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