Susan Jones Comment On Regulatory Notice 21-17

The comment for gender is NOT in keeping with today's diversity needs. Male or Female does not cover any trans or pan sexuality. While I've had my account for over 20 years, I don't see why suddenly this sort of information is needed. It's part of the whole requirements that are just unnecessary, and make me want to lie. My annual income? None of this bank's concern. And so on. Thanks for the opportunity to comment.

SR-FINRA-2021-009

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt a Supplemental Liquidity Schedule, and Instructions thereto, pursuant to FINRA Rule 4524 (Supplemental FOCUS Information).

2017056698601 Jason Edward Schwartz CRD 2798141 Order Accepting Offer jlg (2021-1622578817352).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Edward Schwartz CRD No. 2798141, Respondent. Disciplinary Proceeding No. 2017056698601 Hearing Officer— RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 27, 2021 INTRODUCTION Disciplinary Proceeding No. 2017056698601 was filed on December 7, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Jason Edward Schwartz submitted an

2018059035703 O.N. Equity Sales Company, Inc. CRD 2936 AWC va (2021-1622578817428).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059035703 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: O.N. Equity Sales Company, Inc. (Respondent) Member Firm CRD No. 2936 Pursuant to FINRA Rule 9216, Respondent O.N. Equity Sales Company, Inc. 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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