Extension of Time Requests Relating to FINRA Rule 4210
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently adopted seven rules ("Rules") under the Securities Exchange Act of 1934 requiring broker/dealers engaging in certain recommended
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Government should have no role in regulating investment strategies a citizen uses to manage his/her financial wellbeing. Tax regulations are already doing this. Free and open trading environment are essential in creating a fair environment. I am just an average citizen that manage my own IRA and have been trading for over 25 years. The proposed regulation hand cuffs me from effectively manage my
Dear FINRA, This attempted infantilization of the American public is a disgrace. The American dream is one of freedom. Freedom to make informed financial decisions to provide the best possible life for myself and my family. All of human knowledge is available for free online and yet somehow derivative instruments are so complex as to need regulation by the government? So only the elite can
Limiting the accessibility of complex financial products to retail investors under the guise of protecting them is disingenuous. Nobody cares more about my money than me and before I throw my capital at something I make sure to understand it. I assume most serious investors are equally rational. This attempt to restrict retail investors appears to be an attempt to protect institutional investors
FINRA Makes Available Frequently Asked Questions and Guidance and Extends Effective Date of Margin Requirements for Covered Agency Transactions
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
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
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