Government Shutdown Information

2023079290101 BOK Financial Securities, Inc. CRD 17530 AWC vr (2025-1735863603074).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079290101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BOK Financial Securities, Inc. (Respondent) Member Firm CRD No. 17530 Pursuant to FINRA Rule 9216, Respondent BOK Financial Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065252801 Patrick Capital Markets, LLC CRD 16518 AWC gg (2025-1735777200752).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065252801 TO; Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Capital Markets, LLC (Respondent) Member Firm CRD No. 16518 Pursuant to FINRA Rule 9216, Respondent Patrick Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073419203 Stephen Philip King CRD 1590508 AWC gg (2025-1735777200743).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073419203 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Philip King (Respondent) Former General Securities Principal CRD No. 1590508 Pursuant to FINRA Rule 9216, Respondent Stephen Philip King submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074306901 Roger Peter Daly CRD 1423097 AWC lp (2025-1735777200755).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074306901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roger Peter Daly (Respondent) Former General Securities Representative Former Government Securities Representative CRD No. 1423097 Pursuant to FINRA Rule 9216, Respondent Roger Peter Daly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078093901 Michael T. Shoniker CRD 6402676 AWC lp (2025-1735777200744).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078093901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael T. Shoniker (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6402676 Pursuant to FINRA Rule 9216, Respondent Michael T. Shoniker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Information Notice 12/2/24

Summary

FINRA is making available on the FINRA website the Filing Schedule in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time throughout 2025, including holidays. This information will assist firms with making accurate submissions in connection with filing requests of extensions of time throughout the year, including prior to and after a holiday when the exchanges or banks are closed in 2025.

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