Regulatory Notice 21-05

Summary

The SEC has issued an Order1 that permits specified FINRA members an additional 30 calendar days for filing their annual reports as required pursuant to SEA Rule 17a-5(d), subject to certain conditions. The SEC’s Order is in response to a request by FINRA that is designed to ease potential burdens that smaller members may face in obtaining audit services.

2019061398501 James Scott Harrison CRD 3259086 AWC va (2021-1616199599374).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061398501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Scott Harrison (Respondent) Former General Securities Representative CRD No. 3259086 Pursuant to FINRA Rule 9216, Respondent James Scott Harrison submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064958901 Michael Nagy CRD 6836938 AWC va (2021-1616199599459).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064958901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Nagy (Respondent) Former General Securities Representative CRD No. 6836938 Pursuant to FINRA Rule 9216, Respondent Michael Nagy 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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