Waterview Securities, Inc. Comment On Regulatory Notice 25-06

A.1 Should CABs be permitted to engage in a broader range of M&A and private placement activities than currently specified in the CAB rules? 

Answer: Probably not.

A.2 CABs may not act as an agent for secondary transactions involving unregistered securities, other than in connection with the change of control of a privately held company. Should CABs be permitted to act as placement agents in connection with other types of secondary transactions involving unregistered securities? 

SR-FINRA-2025-006

Rule Filing Status: Filed for Immediate Effectiveness

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend provisions of the FINRA Rule 9000 Series (Code of Procedure) and Funding Portal Rule 900 Series (Code of Procedure) that require or allow for a sanction or other regulatory measure to take effect immediately.

Elder Financial Fraud Webinar: Identifying, Preventing, and Responding as a Financial Professional

Financial professionals have a crucial role in protecting elderly clients from financial fraud. NASAA, and FINRA are co-hosting this free webinar that offers practical, actionable strategies to help you identify common elder fraud schemes and learn about the tools available to help prevent and address suspected or detected fraud.

Small Firm Briefing

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

SR-FINRA-2025-004

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to stay the effectiveness of specified expulsions of member firms, cancellations of membership, and denials of applications for continued membership of disqualified member firms to allow for SEC review. The proposed rule change would amend FINRA Rule 8320, the FINRA Rule 9000 Series, and Funding Portal Rule 900(b).

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