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2017052867301 Mercer Hicks III CRD 245170 OHO Decision va (2021-1624148418809).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MERCER HICKS III (CRD No. 245170), Respondent. Disciplinary Proceeding No. 2017052867301 Hearing Officer-MC EXTENDED HEARING PANEL DECISION May 19, 2021 Respondent Mercer Hicks III is barred from associating with any FINRA member firm in any capacity for making unsuitable recommendations to five

Rebecca Parrish Comment On Regulatory Notice 21-17

I strongly encourage FINRA to allow exams to last for 5-10 years rather than 2. For industry professionals who are also parents, many of them face losing their registrations if they choose to leave the workforce for a few years until their young children are schoolage. This predominantly affects women, as statistically it's most likely that the mother will stay home with the kids. Many other professions allow for licensing to be held as long as continuing education is current.