SR-FINRA-2021-023

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through June 30, 2022 within the scope of the supplementary material.

AFFP

Agriculture Focused Financial Planning Professional (AFFP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization University of Illinois Urbana-Champaign
Qualification and Training Requirements
Prerequisites

Candidates must hold an associate, bachelor's or graduate degree from an accredited institution and meet at least one of the following criteria: 

  • hold a FINRA Series 6, 7 or NASAA Series 65 registration;
  • be a licensed state insurance agent in good standing;
  • hold a CFP® or ChFC® designation in good standing; or
  • have worked in agribusiness for a minimum of five years.
Designation Training Requirements

Online, self-paced curriculum
Designation Exam Type

Online, open-book final exam
Continuing Education Requirements

Four hours annually
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

Submitted via online Complaint Form
Published List of Disciplined Designees

None

2020065015901 Anthony DeJohn CRD 2664760 AWC sl (2021-1634257207930).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065015901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony DeJohn, Respondent Former General Securities Representative, Former General Securities Sales Supervisor, and Former General Securities Principal CRD No. 2664760 Pursuant to FINRA Rule 9216, Respondent Anthony DeJohn submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063770601 Robert T. Nyilas CRD 1030273 AWC sl (2021-1634257208495).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063770601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert T. Nyilas (Respondent) Former General Securities Representative CRD No. 1030273 Pursuant to FINRA Rule 9216, Respondent Robert T. Nyilas 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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