2020068792101 Garrett Manning CRD 6887127 AWC sl (2021-1639181997214).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068792101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Manning (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 6887127 Pursuant to FINRA Rule 9216, Respondent Garrett Manning submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069433001 Andrew Timothy Durham CRD 6541868 AWC sl (2021-1639182043720).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069433001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Timothy Durham (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6541868 Pursuant to FINRA Rule 9216, Respondent Andrew Durham submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016051704305 Aegis Capital Corp. CRD 15007 AWC jlg (2021-1639181998043).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051704305 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aegis Capital Corp. (Respondent) Member Firm CRD No. 15007 Pursuant to FINRA Rule 9216, Respondent Aegis Capital Corp. (Aegis) 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,

Information Notice 11/12/21

Summary

To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings they submit to FINRA must be made electronically through FINRA Gateway.

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