Government Shutdown Information

2018060139001 UBS Financial Services Inc. CRD 8174 AWC gg (2022-1653524405531).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060139001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Fred Beisse Comment On Regulatory Notice 22-08

Rather than block investors from complex ETFs, another, perhaps preferable, approach would be to require that explanations of complex investments be written clearly, in simple English, and that the consequences of an investment, including risks, in those ETFs be clearly spelled out. That would allow investors who would like to use ETFs as part of their portfolio, and understand the consequences of doing so, to use these "complex" instruments. If an ETF provider is unable to explain their instrument in plain English, then their instrument should be unavailable.

2021071352201 Diane Marie Simmons CRD 6085105 AWC gg (2022-1653265205134).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071352201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Diane Marie Simmons (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6085105 Pursuant to FINRA Rule 9216, Respondent Diane Marie Simmons submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074672801 Madison Sloan Trewhitt III CRD 2008420 AWC va (2022-1653265204867).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074672801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Madison Sloan Trewhitt III (Respondent) Former General Securities Representative CRD No. 2008420 Pursuant to FINRA Rule 9216, Respondent Madison Sloan Trewhitt III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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