SR-FINRA-2021-023

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through June 30, 2022 within the scope of the supplementary material.

2019063910001 Jeffrey A. Bogart CRD 2049796 AWC sl (2021-1634170814843).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063910001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey A. Bogart, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2049796 Pursuant to FINRA Rule 9216, Respondent Jeffrey A. Bogart submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063152201 Tyler J. Forbes CRD 6503609 AWC jlg (2021-1634170814477).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063152201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tyler J. Forbes (Respondent) Former General Securities Representative CRD No. 6503609 Pursuant to FINRA Rule 9216, Respondent Tyler J. Forbes 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 that, if accepted, FINRA

2021072162901 William J. Michero CRD 4617645 AWC jlg (2021-1634170814646).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072162901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William J. Michero (Respondent) Former General Securities Representative CRD No. 4617645 Pursuant to FINRA Rule 9216, Respondent William J. Michero 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
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