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Regulatory Notice 21-41

Summary

FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time.

2020065505201 Roderick Len Whited CRD 2663822 AWC rrm (2021-1639700492711).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065505201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roderick Len Whited (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2663822 Pursuant to FINRA Rule 9216, Respondent Roderick Len Whited submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.