2023078203401 James H. MacKellar CRD 803007 AWC gg.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078203401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: James H. MacKellar (Respondent)
Former Direct Participation Programs Representative, Investment Company and Variable
Contracts Products Principal, and Investment Company and Variable Contracts Products
Representative
CRD No. 803007
Pursuant to FINRA Rule 9216, Respondent James H.
SR-FINRA-2024-007
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)).