Government Shutdown Information

2020065532401 Christopher Edward Bond CRD 4658534 AWC sl (2022-1647130812691).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065532401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Edward Bond (Respondent) General Securities Representative CRD No. 4658534 Pursuant to FINRA Rule 9216, Respondent Christopher Edward Bond 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 22-05

Summary

FINRA has adopted amendments to Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) place a hold on a securities transaction (in addition to the already-permitted hold on a disbursement of funds or securities) where there is a reasonable belief of financial exploitation; and (2) extend a temporary hold on a disbursement or transaction for an additional 30 business days, beyond the current maximum of 25 business days (for a total of 55 business days), if the member firm has reported the matter to a state regulat

2017055743101 Nobles & Richards, Inc. CRD 146870 AWC jlg (2022-1647130812791).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055743101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nobles & Richards, Inc. CRD No. 146870 Pursuant to FINRA Rule 9216, Respondent Nobles & Richards, Inc., 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 accepted, FINRA will not

2020068624101 Raphael Mack CRD 6391565 AWC jlg (2022-1647130812727).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068624101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raphael Mack (Respondent) General Securities Representative CRD No. 6391565 Pursuant to FINRA Rule 9216, Respondent Raphael Mack 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-2022-002

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the query fee applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).

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