Summary
The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
SilverLake Wealth Management, LLC33 Blair Park Rd STE 100 | Williston, VT 05495(802) 857-50 May 13, 2025May 13, 2025Ms. 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
Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice 25-05Dear 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 Regulatory
Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated persons conduct business and interact with customers, expanded customers’ choices in engaging with members and the securities markets, and created opportunities for different workplace arrangements for members and associated persons. Members also increasingly leverage digital innovations to create operational efficiencies and optimize decision-making, and to respond to investor demand for digital platforms.
About half of the nation’s financial advisors personally own crypto. If this rule is enacted, upwards of a hundred thousand FAs will have to inform their B/Ds of their crypto holdings and seek written permission to keep them. If permission is not obtained, the FAs will be required to sell their crypto assets, transfer to another firm that permits their investments, or be terminated. If this rule
May 5, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 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 opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA
5/5/2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice 25-05Dear 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
This rule should be opposed. The only way to KNOW crypto is to hold crypto. This is stupid. No boomer from JPM is going to understand utility coins.
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm
Dear 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 Regulatory Notice 25-05.Fundamental to the fiduciary relationship that exists between our firm and our clients is the trust that our clients have that their
