2020067759601 Philip Jenss Myers CRD 1458723 AWC jlg (2022-1644452423363).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067759601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Jenss Myers (Respondent) General Securities Principal CRD No. 1458723 Pursuant to FINRA Rule 9216, Respondent Philip Myers 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,

SR-FINRA-2021-008

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of FINRA rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).

SR-FINRA-2021-008

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of FINRA rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).

Subscribe to