Regulatory Notice 21-40

Summary

FINRA is soliciting comment on a proposal to amend FINRA Uniform Practice Code Rule 11880 (Settlement of Syndicate Accounts). The proposed amendments would reduce the maximum time for the final settlement of syndicate accounts in a public offering of corporate debt securities from 90 days to 30 days following the syndicate settlement date.

Questions concerning this Notice should be directed to:

2020068792101 Garrett Manning CRD 6887127 AWC sl (2021-1639181997214).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068792101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Manning (Respondent) General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 6887127 Pursuant to FINRA Rule 9216, Respondent Garrett Manning submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069433001 Andrew Timothy Durham CRD 6541868 AWC sl (2021-1639182043720).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069433001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Timothy Durham (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6541868 Pursuant to FINRA Rule 9216, Respondent Andrew Durham submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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