2020065505201 Roderick Len Whited CRD 2663822 AWC rrm (2021-1639700492711).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065505201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roderick Len Whited (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2663822 Pursuant to FINRA Rule 9216, Respondent Roderick Len Whited submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2021-029

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6732 to provide FINRA with authority to, subject to conditions, exempt transactions by a member alternative trading system (“ATS”) that meet specified criteria from the transaction reporting obligations of FINRA Rule 6730 (Transaction Reporting). 

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