2023078783201 Roy Kevin Williams CRD 843607 AWC lp (2024-1728174010445).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078783201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roy Kevin Williams (Respondent) Former General Securities Representative Former General Securities Sales Supervisor Former Registered Options Principal CRD No. 843607 Pursuant to FINRA Rule 9216, Respondent Roy Kevin Williams submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020069039302 Christopher Philip Arnella CRD 4886531 AWC gg (2024-1728174010820).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020069039302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Philip Arnella (Respondent) General Securities Representative and General Securities Sales Supervisor CRD No. 4886531 Pursuant to FINRA Rule 9216, Respondent Christopher Philip Arnella submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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.
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