SR-FINRA-2024-013

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) incurred prior to January 1, 2022. These fees would be payable to Consolidated Audit Trail, LLC (“CAT LLC” or “the Company”) and referred to as Historical CAT Assessment 1.

SR-FINRA-2024-014

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implement a historical Consolidated Audit Trail (“CAT”) recovery assessment designed to permit FINRA to recoup its contributions to recoverable historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022.

2021069332001 Roger Philip Turcotte CRD 1180997 AWC vr (2024-1728087604852).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069332001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Philip Turcotte (Respondent) General Securities Representative, Investment Company and Variable Contracts Products Representative, and Investment Company and Variable Contracts Products Principal CRD No.

2022074599001 Glenn E. Bridwell CRD 1783191 AWC lp (2024-1728087610336).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074599001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glenn E. Bridwell (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 1783191 Pursuant to FINRA Rule 9216, Respondent Glenn E. Bridwell submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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