SR-FINRA-2021-027

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) to the close of business on March 18, 2022. 

2021072558701 Eric Shea Hollifield CRD 3091319 AWC sl (2021-1636244412989).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072558701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eric Shea Hollifield (Respondent) Former General Securities Representative CRD No. 3091319 Pursuant to FINRA Rule 9216, Respondent Eric Shea Hollifield 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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