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21-00720.pdf

SR-FINRA-2021-027

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed 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.

2021072558701 Eric Shea Hollifield CRD 3091319 AWC sl (2021-1636244412989).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072558701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric Shea Hollifield (Respondent) Former General Securities Representative CRD No. 3091319 Pursuant to FINRA Rule 9216, Respondent Eric Shea Hollifield 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 21-36

Summary

The Financial Crimes Enforcement Network (FinCEN) has issued the first government-wide priorities for anti-money laundering and countering the financing of terrorism policy,¹ which was mandated by the Anti-Money Laundering Act of 2020 (AML Act).² FinCEN also issued a

21-00041.pdf

19-03738(2).pdf

motion to vacate

Special Purpose Acquisition Companies (“SPACs”)

2016051493704 Jorge A. Reyes CRD 4256834 NAC Decision sl (2021-1636244413009).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jorge A. Reyes, Miami Beach, FL, Respondent. DECISION Complaint No. 2016051493704 Dated: October 7, 2021 Registered representative fraudulently misrepresented and omitted material facts, recommended unsuitable securities to a particular customer, converted funds, and created and used marketing materials that violated the standards for public communications by FINRA members

18-01020.pdf

21-00061.pdf

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