2019064935602 Kayan Securities, Inc. CRD 156175 and Yong Soo Kim CRD 1747849 AWC gg (2024-1718497212416).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064935602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kayan Securities, Inc. (Respondent) Member Firm CRD No. 156175 Yong Soo Kim (Respondent) General Securities Principal CRD No. 1747849 Pursuant to FINRA Rule 9216, Respondents Kayan Securities and Yong Soo Kim (Kim) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078213501 Nicole Bolton CRD 7279951 AWC gg (2024-1718410809557).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078213501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicole Bolton (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7279951 Pursuant to FINRA Rule 9216, Respondent Nicole Bolton (Bolton) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Registration Systems Foundation Training (Virtual)

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Registration Systems Foundation Training (Virtual)

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

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