2022074131601 Shawn E. Good CRD 2022168 AWC va (2022-1652574003963).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074131601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawn E. Good (Respondent) Former General Securities Representative CRD No. 2022168 Pursuant to FINRA Rule 9216, Respondent Shawn E. Good submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This

2020066674001 First Horizon Advisors, Inc. CRD 17117 AWC gg (2022-1652487599344).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066674001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Horizon Advisors, Inc. (Respondent) Member Firm CRD No. 17117 Pursuant to FINRA Rule 9216, Respondent First Horizon Advisors, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2022-010

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).

SR-FINRA-2022-010

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt on a permanent basis the pilot program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).

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