Regulatory Notice 21-38

Summary

On November 8, 2021, FINRA will cease operation of the OTC Bulletin Board (OTCBB)—a FINRA-operated inter-dealer quotation system—and delete the OTCBB-related rules from the FINRA rulebook. 

Questions regarding this Notice should be directed to:

2020066023101 Michael Miles Hartlett CRD 1022139 AWC sl (2021-1637540406093).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066023101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Miles Hartlett (Respondent) General Securities Representative and General Securities Principal CRD No. 1022139 Pursuant to FINRA Rule 9216, Respondent Michael Hartlett submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to