2021069363301 Aegis Investments, Inc. CRD 16033 AWC jlg (2022-1649895621424).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069363301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aegis Investments, Inc. (Respondent) Member Firm CRD No. 16033 Pursuant to FINRA Rule 9216, Respondent Aegis Investments, Inc. (Aegis Investments) 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

Regulatory Notice 22-09

Summary

FINRA seeks comment on a proposal to accelerate arbitration case processing when requested by parties who are seriously ill or are at least 75 years old. The proposal would help ensure that these parties are able to participate meaningfully in FINRA arbitration by shortening certain case processing deadlines for parties and arbitrators under the Codes.

The text of the proposed amendments is set forth in Attachment A.

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