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2021071218701 Jeffrey Travis Drost CRD 4489021 AWC va (2021-1632702008453).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071218701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Travis Drost (Respondent) Former General Securities Representative CRD No. 4489021 Pursuant to FINRA Rule 9216, Respondent Jeffrey Travis Drost submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019060991101 Julio Cesar Lage CRD 4698401 AWC va (2021-1632702009158).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060991101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Julio Cesar Lage (Respondent) Former General Securities Representative CRD No. 4698401 Pursuant to FINRA Rule 9216, Respondent Julio Cesar Lage 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-2021-022

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to extend, to January 26, 2022, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016.

SR-FINRA-2021-022

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to January 26, 2022, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016.