2020065274801 Jay S. Sheth CRD 4656009 AWC lp (2022-1651969217233).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065274801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jay S. Sheth (Respondent) General Securities Representative CRD No. 4656009 Pursuant to FINRA Rule 9216, Respondent Jay S. Sheth submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Dave Nadig Comment On Regulatory Notice 22-08

Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 To Whom It May Concern, Hi there. I’m Dave Nadig, Financial Futurist for ETF Trends and ETF Database. For most of the last 25 years, my job has been to help asset managers understand investors and help investors understand the products that asset managers build. Since 1993, I’ve been in and around the regulatory framework for ETFs – arguably the most egalitarian financial product ever created.

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