SR-FINRA-2021-019

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from August 31, 2021, to December 31, 2021.

2018058537302 Jorge Antonio Netto CRD 2432661 Complaint va (2021-1631492426907).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jorge Antonio Netto (CRD No. 2432661), Respondent. Disciplinary Proceeding No. 2018058537302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or around April 2017 to April 2018 (the "relevant" period), while
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