2020065661701 Cody Nix Wilson CRD 4474329 AWC sl (2022-1641514855932).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065661701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cody Nix Wilson (Respondent) General Securities Representative Municipal Securities Representative CRD No. 4474329 Pursuant to FINRA Rule 9216, Respondent Cody Nix Wilson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2021-032

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the provisions of FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials) relating to seeking reimbursement from issuers for forwarding proxy and other materials and to make minor conforming revisions. 

SR-FINRA-2021-031

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 December 31, 2021, to March 31, 2022. 

2019062006601 Alan Scot Feigenbaum CRD 3132230 AWC jlg (2022-1641514818394).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER., AND CONSENT NO. 2019062006601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan Scot Feigenbaum (Respondent) Former General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 3132230 Pursuant to FINRA Rule 9216, respondent Alan Scot Feigenbaum submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
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