Information Notice 4/19/22

Summary

This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.

2020068740302 Marco Antonio Rivera CRD 7003078 Decision va (2022-1652919609995).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARCO ANTONIO RIVERA (CRD No. 7003078), Respondent. Disciplinary Proceeding No. 2020068740302 Hearing Officer-BEK DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member in any capacity for failing to provide information and documents to FINRA staff.
Subscribe to