Skip to main content

SR-FINRA-2021-027

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) to the close of business on March 18, 2022.

2019064729702 Jennifer Ayers CRD 6599784 AWC sl (2021-1636330805424).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064729702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jennifer Ayers (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6599784 Pursuant to FINRA Rule 9216, Respondent Jennifer Ayers submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.