Government Shutdown Information

2019060753503 John M. LoPinto CRD 4563735 AWC sl (2022-1644452422798).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060753503 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John M. LoPinto (Respondent) Former General Securities Representative CRD No. 4563735 Pursuant to FINRA Rule 9216, Respondent John M. LoPinto 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-2022-001

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through December 31, 2022 within the scope of the supplementary material.

2020067759601 Philip Jenss Myers CRD 1458723 AWC jlg (2022-1644452423363).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067759601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Philip Jenss Myers (Respondent) General Securities Principal CRD No. 1458723 Pursuant to FINRA Rule 9216, Respondent Philip Myers 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-2021-008

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of FINRA rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).

SR-FINRA-2021-008

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of FINRA rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).

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