2024081387401 Steven Aibel CRD 2692818 AWC lp (2024-1725754817438).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081387401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Aibel (Respondent) General Securities Representative CRD No. 2692818 Pursuant to FINRA Rule 9216, Respondent Steven Aibel submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024081403101 John R. Emanuele CRD 1034480 AWC lp (2024-1725754817435).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081403101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John R. Emanuele (Respondent) Former General Securities Representative CRD No. 1034480 Pursuant to FINRA Rule 9216, Respondent John R. Emanuele submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 24-11

Summary 

FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other information about the updates.   

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