2020068453501 Stacy Leflore CRD 5344142 AWC jlg (2021-1639873211999).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068453501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stacy Leflore (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5344142 Pursuant to FINRA Rule 9216, Respondent Stacy Leflore 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

SR-FINRA-2021-015

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 1240 (Continuing Education Requirements). The proposed rule change also makes conforming amendments to FINRA Rule 1210 (Registration Requirements). Among other changes, the proposed rule change requires that the Regulatory Element of continuing education be completed annually rather than every three years and provides a path through continuing education for individuals to maintain their qualification following the termination of a registration.

SR-FINRA-2021-015

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 1240 (Continuing Education Requirements). The proposed rule change also makes conforming amendments to FINRA Rule 1210 (Registration Requirements). Among other changes, the proposed rule change requires that the Regulatory Element of continuing education be completed annually rather than every three years and provides a path through continuing education for individuals to maintain their qualification following the termination of a registration.

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