2020066927501 Robert J. McNamara CRD 1207495 AWC sl (2022-1645402806145).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066927501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert J. McNamara (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 1207495 Pursuant to FINRA Rule 9216, Respondent Robert J. McNamara submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

2020068230201 Rebecca Everett CRD 2508649 AWC jlg (2022-1645402806931).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068230201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rebecca Everett (Respondent) Former Associated Person CRD No. 2508649 Pursuant to FINRA Rule 9216, Respondent Rebecca Everett submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

Regulatory Notice 22-04

Summary

In light of the increasingly automated markets for NMS stocks, FINRA is issuing this Notice to remind member firms of their obligation to execute marketable customer orders fully and promptly. We also are reminding firms of their obligation to ensure that their supervisory systems are reasonably designed to achieve compliance with this obligation.

Questions concerning this Notice should be directed to:

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