FINRA Rule 1210.09 established a waiver program for eligible individuals who left a member firm to work for a foreign or domestic financial services affiliate of a member firm with FINRA. FSAWP participants will be granted a waiver of their requalification requirements, including the Securities Industry Essentials® (SIE®) Exam, upon reapplying with FINRA within a single, fixed seven-year period,
The Financial Industry Regulatory Authority (FINRA) Bond Trade Dissemination Service (BTDS), Agency Trade Dissemination Service (ATDS), Securitized Products Dissemination Service (SPDS) feeds and 144A Bond Trade Dissemination Service (144A) are available via a number of extranet providers, and software solutions for feed integration are available through third-party vendors. Additional vendors
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 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
