SR-FINRA-2022-010
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
SR-FINRA-2022-010
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
Eliajah Hunsaker Comment On Regulatory Notice 22-08
LETFs are indeed complex investment instruments but I believe current disclosure requirements are more than sufficient for investors to remain informed about the products they are buying. Limiting the purchase of LETF products to accredited investors or requiring financial literacy tests to purchase only puts unnecessary roadblocks in place that are easily circumvented.
2021072296201 Wesley Cummings CRD 7135629 AWC lp (2022-1652401212153).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072296201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Wesley Cummings (Respondent)
Former General Securities Representative
CRD No. 7135629
Pursuant to FINRA Rule 9216, Respondent Wesley Jamison Cummings submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021070686301 Jonathan A. Stuffer CRD 6015954 AWC lp (2022-1652401214200).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070686301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jonathan A. Stuffer (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6015954
Pursuant to FINRA Rule 9216, Respondent Jonathan A. Stuffer submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021071847701 William Martin Beasley CRD 1750089 AWC lp (2022-1652401208796).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071847701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William Martin Beasley (Respondent)
General Securities Representative
CRD No. 1750089
Pursuant to FINRA Rule 9216, Respondent William Martin Beasley submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022073728601 John Winslow CRD 3071933 AWC lp (2022-1652401210656).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073728601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John Winslow (Respondent)
Former General Securities Representative
CRD No. 3071933
Pursuant to FINRA Rule 9216, Respondent John Winslow submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.