Information Notice - 4/21/22

Summary

Effective May 14, 2022, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $5.10 per million dollars in transactions to a new rate of $22.90 per million dollars in transactions.

Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637 or email.

Legal and interpretive questions should be directed to:  

2020067292901 Bruce Cameron Amman, CRD 2130243 AWC gg (2022-1653092407723).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067292901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bruce Cameron Amman (Respondent) Former General Securities Representative CRD No. 2130243 Pursuant to FINRA Rule 9216, Respondent Bruce Cameron Amman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064551501 Shawn Parker CRD 1768234 AWC gg (2022-1653092407161).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064551501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawn Parker (Respondent) Former General Securities Representative CRD No. 1768234 Pursuant to FINRA Rule 9216, Respondent Shawn Parker 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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