2019064746501 Jamie J. Worden CRD 4637404 AWC sl (2021-1636849209756).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064746501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jamie J. Worden (Respondent) General Securities Principal and General Securities Representative CRD No. 4637404 Pursuant to FINRA Rule 9216, Respondent Jamie J. Worden submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice – 10/19/21

Executive Summary

The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one North Region and one West Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the North and West Regions as of the close of business on October 18, 2021, are eligible to vote in these elections.

Ballots are due by Thursday, November 18, 2021.

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