SR-FINRA-2022-002

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the query fee applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).

2020065572901 Howell Gregory Ferguson CRD 4400990 AWC DM (2022-1647044416845).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065572901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howell Gregory Ferguson (Respondent) Former General Securities Representative CRD No. 4400990 Pursuant to FINRA Rule 9216, Respondent Howell Gregory Ferguson submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

202006530101 Buy the Block CRD 287496 Linda Pierre Smith CRD 6768264 AWC DM (2022-1647044416554).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065330101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Buy the Block (Respondent) Funding Portal Member CRD No. 287496 Linda Pierre Smith (Respondent) Associated Person of a Funding Portal Member CRD No. 6768264 Pursuant to FINRA Rule 9216, Respondents Buy the Block and Linda Pierre Smith submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Certified Life Field Underwriter

Certified Life Field Underwriter (CLFU)

Designation Essentials
Status Currently offered and recognized by the issuing organization.
Issuing Organization Inter-American Institute of Insurance
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Complete 1 elective and 5 required online, self-study courses, including 1 ethics course
Designation Exam Type

Online, proctored, closed-book course final exams
Continuing Education Requirements

10 hours plus an anti-money laundering and an ethics course every 2 years
Verification and Complaints
Online Designation Resource

Online at Professional Designation Check
Investor Complaint Process

Online at File a Complaint
Published List of Disciplined Designees

Online at Search Sanctioned and Disciplined Individuals by Country
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