Election Notice – 9/3/24

Summary

The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule changes.

2024081490001 Mehdi El Sayed Mohamad CRD 7474704 AWC gg (2024-1727482813227).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081490001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mehdi El Sayed Mohamad (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7474704 Pursuant to FINRA Rule 9216, Respondent Mehdi El Sayed Mohamad submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022077355501 BBVA Securities Inc. CRD 27060 AWC lp (2024-1727396417076).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077355501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BBVA Securities Inc. (Respondent) Member Firm CRD No. 27060 Pursuant to FINRA Rule 9216, Respondent BBVA Securities 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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