2019064722601 Dinu Marian Tise CRD 4609240 AWC sl (2022-1645230011551).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064722601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dinu Marian Tise (Respondent) Former General Securities Representative CRD No. 4609240 Pursuant to FINRA Rule 9216, Respondent Dinu Marian Tise submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-02

Summary

FINRA has amended, with immediate effectiveness, the provisions of FINRA Rule 2251 regarding rates of reimbursement for expenses incurred in processing and forwarding proxy and other issuer-related materials.1 As specified in more detail below, the amendments apply the notice and access fees set forth under the rule to the distribution of investment company shareholder reports and further prohibit fees on accounts containing only shares that were transferred to the account holder by the member witho

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