Mark Comment On Regulatory Notice 25-04
MMTLP. Fix it now!!
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Several FINRA rules are outdated, overly burdensome, or fail to account for modern trading environments and technologies.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
Rule Modernization Regulatory Notice
March 12, 2025
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2018056490322_Martin Barwikowski CRD 5257475 AWC vr (2025-1744590001599).pdf
Barwikowski refused to produce information and documents requested pursuant to FINRA Rule 8210. As a result, Barwikowski violated FINRA Rules 8210 and 2010, and is barred from associating with any FINRA member in all capacities.
2022075977501 Ben Jen CRD 7701847, Ray Rohne CRD 1942268 OHO Decision ks (2025-1744590001679).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
BEN JEN
(CRD No. 7701847),
and
RAY ROHNE
(CRD No. 1942268),
Respondents.
Disciplinary Proceeding
No.