SR-FINRA-2021-031

Rule Filing Status:  Filed for Immediate Effectiveness

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.

SR-FINRA-2021-032

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials) relating to seeking reimbursement from issuers for forwarding proxy and make minor conforming revisions.

2020068740302 Marco Antonio Rivera CRD 7003078 Complaint jlg (2022-1641687676349).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marco Antonio Rivera CRD No. 7003078, Respondent. Disciplinary Proceeding No. 2020068740302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Marco Antonio Rivera failed to provide a complete response to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in February 2021. As a result, Rivera violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION

2020066887201 Anthony Joseph Graziano CRD 2862096 AWC jlg (2022-1641687675510).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066887201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Joseph Graziano (Respondent) General Securities Principal CRD No. 2862096 Pursuant to FINRA Rule 9216, Respondent Anthony Joseph Graziano 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
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