2017055447502 Ronald L. Whittingham CRD 4175525 AWC sl (2021-1638058805356).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055447502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald L. Whittingham (Respondent) General Securities Representative and General Securities Principal CRD No. 4175525 Pursuant to FINRA Rule 9216, Respondent Ronald L. Whittingham submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 21-39

Summary

FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and publishes a Final Statement in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2022.

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