SR-FINRA-2022-003
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend, to October 26, 2022 the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016.
SR-FINRA-2022-003
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to October 26, 2022 the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016.
Regulatory Notice 22-06
Summary
The U.S. government has imposed sanctions in response to Russia’s actions in Ukraine. FINRA is issuing this Notice to provide member firms with information about these recent actions. FINRA encourages member firms to continue to monitor the Department of Treasury’s Office of Foreign Asset Control (OFAC) website for relevant information.
2021 Dispute Resolution Statistics
2018060469601 Andrew B. Elsoffer CRD 2580009 AWC va (2022-1648426819736).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060469601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew B. Elsoffer (Respondent) Former General Securities Representative CRD No. 2580009 Pursuant to FINRA Rule 9216, Respondent Andrew B. Elsoffer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.