Re: FINRA Proposed Rule 3290Proposed Rule 3290 does not address the transition from Rule 3270 to the proposed rule. Specifically, to what extent and for how long would a previous notification and approval of an outside business activity under Rule 3270 satisfy the requirements of the proposed rule? Previous notifications and approvals under Rule 3270 should continue to be
Communications with the PublicReg BI and Form CRSPrivate PlacementsVariable AnnuitiesPrevious:Crowdfunding Offerings: Broker-Dealer and Funding PortalsUp:Communications and SalesNext:Communications with the Public
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
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Funding Portals and Crowdfunding Offerings
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Funding Portals and Crowdfunding Offerings
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Communications and Sales
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Fixed Income Mark-up Disclosure
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SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
These regulations are unprecedented and ludicrous!! Never before have regulators proposed blocking investors from investments. The function of regulators has been to insure products and their promoters fully informed investors and disclosed disclosed risks. Even private placements focus more on full and complete disclosure, than restricting investment.
Please do not play "nanny."
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry.
