2023078596901 James C. Etter CRD 5576744 AWC lp (2024-1734049203742).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078596901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: James C. Etter (Respondent)
Former General Securities Representative
CRD No. 5576744
Pursuant to FINRA Rule 9216, Respondent James C. Etter submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
22-00619.pdf
consolidated with 19-03564
19-03564.pdf
consolidated with 22-00619
SR-FINRA-2024-019
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.