2014041813501 Deutsche Bank Securities Inc. CRD 2525 AWC sl (2022-1649377217179).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041813501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc. (Respondent) Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059545604 Fusion Analytics Securities, LLC CRD 124245 Complaint jlg (2022-1649377218771).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fusion Analytics Securities, LLC CRD No. 124245, Respondent. Disciplinary Proceeding No. 2018059545604 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to at least August 2019, Respondent Fusion Analytics Securities, LLC, acting through MC, its indirect owner and Managing Partner, and EW, one of COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 to at least

SR-FINRA-2022-004

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from March 31, 2022, to July 31, 2022.

Regulatory Notice 22-08

The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks. Like complex products, trading in options may pose risks if investors do not have the financial experience to understand options and options trading strategies.

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