Marissa Roncancio Comment On Regulatory Notice 25-04

As we continue to evolve in a rapidly changing financial landscape, it is essential to consider how hybrid work arrangement has contributed to making employees feel that they have more of a work / life balance & supports retention & productivity. As firms compete for top talent, offering flexibility has become a crucial factor in attracting & retaining skilled professionals. the past few years have demonstrated that it can be implemented successfully while upholding the integrity of our regulatory responsibilities.

2023079639201 Jarrett Carter Thomas CRD 5491743 AWC gg.pdf

In June 2023, while associated with Wells Fargo Clearing Services, Thomas accepted instructions from an elderly customer, Customer A, to transfer $50,000 from her account at Wells Fargo Clearing Services to her outside bank account. Thomas knew that Customer A was suffering from advanced dementia and that she did not have the capacity or authority to give those instructions. By effecting the $50,000 funds transfer based on Customer A's instructions, Thomas made an unauthorized transaction in violation of FINRA Rule 2010.

Dustin Hite Comment On Regulatory Notice 25-04



FINRA’s rules should be modernized to address economic costs, evolving markets, technology advancements, and regulatory inefficiencies. Below are key areas for modernization, including specific rules, guidance updates, and regulatory overlaps that warrant attention.


1. Focus Areas for Modernizing FINRA Rules


Several FINRA rules are outdated, overly burdensome, or fail to account for modern trading environments and technologies.


A. Short Selling & Market Transparency Rules


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