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SR-FINRA-2026-023
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) and make a conforming amendment to FINRA Rule 1240(a)(6) (Delivery of the Regulatory Element) to establish an interim program of Regulatory Element Continuing Education (“CE”) that would be voluntary and provide member firms with the option for their senior leaders to complete continuing education.
2026900000201 Howard Crockett III CRD 3022729 AWC ks.pdf
From September 2024 through September 2025, Crockett engaged in an outside business
activity without disclosing the activity to the firm he was associated with during that
period. Crockett's outside business consulting activity included, among other things,
brokering a loan and a health insurance policy for an outside company, whose owner was
a customer of NYLIFE. As a result, he violated FINRA Rules 3270 and 2010 and is
suspended for two months in all capacities and fined $5,000.