SR-FINRA-2024-005

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) that governs arbitration and mediation claims filed in the forum administered by FINRA Dispute Resolution Services (“DRS”) prior to April 16, 2007.

SR-FINRA-2024-005

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to retire the FINRA Rule 10000 Series (Code of Arbitration Procedure).

2023078504001 Joseph Samuel Vanelli III CRD 6656001 AWC lp.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078504001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Samuel Vanelli III (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6656001 Pursuant to FINRA Rule 9216, Respondent Joseph Samuel Vanelli III, 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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