I am writing to express my strong opposition to FINRA’s Proposed Rule 3290 as outlined in Regulatory Notice 25-05. As a responsible investor who personally owns digital assets and utilizes a registered advisor through Digital Wealth Partners, I am deeply concerned about the proposed restrictions requiring financial advisors to seek written approval from their broker/dealer before engaging in
Summary
FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11).2 As amended, Rule 6432 will require a qualified inter-dealer quotation system (Qualified IDQS)3 to submit a modified Form 211 filing to FINRA in connection with each initial
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Senior ManagementLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD recently completed a study of secondary market trading in direct participation program (DPP) securities. As a result, this notice is being issued to emphasize the applicability and relevance of certain NASD rules
1423 Leslie Avenue Alexandria, VA 22301 August 7, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington DC 20006-1506 RE: Rule 5110 and Regulatory Notice 23-09 Dear Ms. Mitchell: Thank you for the opportunity to comment on FINRA rules impacting capital formation. CrowdCheck, together with its affiliated law firm, CrowdCheck Law, was formed for the
Dear FINRA,
I object to this rule that public investments should be restricted to a small number of privileged individuals. Making the public pass tests in order to invest in public funds is elitist and opposes our nations tradition of individual improvement through investing. As a woman, it is critical to me that I have access to all types of public investment because these types of rules are
I vehemently oppose any measure or regulation imposed on my behalf for investing of my own money. No one has the right to regulate how I choose to invest my money, test my knowledge, have a certain net worth, use a broker or get special approval from a broker. It is my right to spend, invest, or not, the money that I work for every single day and have since I was 16 yrs of age. Its preposterous
This is absurd to say what someone can and cant invest in for the everyday person. We are all capable of understanding what risks are involved as everything in the market comes with risk. I do a lot of investing and trading using leveraged funds and have not had an issue and its where a vast majority of my trading comes from. All this without any kind of test. Its insulting to take away so much
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Broker/Dealer And Agent Renewals
Payment Deadline: December 8, 2000
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) 2001
February 1, 2001The first quarter 2001 software release for OATS contains two enhancements that will significantly affect NASD member firms, service bureaus, and clearing firms.The first enhancement is to empower member firms with the ability to control who submits order data on their behalf. OATS will give member firms the ability to set up reporting relationships with their Order Sending
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
