2019061155401 Sidoti & Company, LLC CRD 102860 AWC va (2021-1627258813295).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061155401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sidoti & Company, LLC (Respondent) Member Firm CRD No. 102860 Pursuant to FINRA Rule 9216, Respondent Sidoti & Company, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060356501 Kelly Wayne Feehrer CRD 1470328 AWC va (2021-1627258812471).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060356501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kelly Wayne Feehrer (Respondent) General Securities Representative CRD No. 1470328 Pursuant to FINRA Rule 9216, Respondent Kelly Wayne Feehrer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Anonymous Comment On Regulatory Notice 21-17

A hindrance to increasing the diversity in the securities industry may be the cumbersome processes regarding testing accommodations which disparately impact neurodiverse and disabled persons. Documentation requirements exceeding beyond what the ADA establishes as sufficient has a disparate impact on neurodiverse and disabled persons. Requiring unnecessary documentation is often costly, untimely to acquire, and does not guarantee accommodations even when sufficient documentation has been provided.

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