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2021071439701 Courtney Michelle Kaplan CRD 5249375 AWC jlg (2021-1635726007551).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071439701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Courtney Michelle Kaplan (Respondent) Former General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 5249375 Pursuant to FINRA Rule 9216, Respondent Courtney Kaplan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged

2021070377701 Deborah Herrmann CRD 5204514 AWC jlg (2021-1635726007580).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070377701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deborah Herrmann (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5204514 Pursuant to FINRA Rule 9216, Respondent Deborah Herrmann 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

Anonymous-NN Comment On Regulatory Notice 21-19

FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they also leave significant specific gaps that could compromise the entirety of 21-19's purpose.

Bernardo Osorno Comment On Regulatory Notice 21-19

What the world saw in the final week of January 2021 was the cartelization of speculators who specialize in selling short stocks and options in the American capital markets. Whether or not this association's formation was premeditated or ad hoc is irrelevant to the events that unfolded and are continuing to unfold in relation to the impending implosion, real or perceived, of the system that allowed this group to operate.