SR-FINRA-2021-011
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1011(p) (“specified risk event”), to correct an inadvertent drafting error and clarify the “final regulatory actions” that are included in the “specified risk event” definition for purposes of the Rule 1000 Series (Member Application and Associated Person Registration). Rule 1011(p) was among the rules approved in File No. SR-FINRA-2020-011.
2019064188001 William H. Dixon CRD 68881 AWC va (2021-1623457215441).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064188001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William H. Dixon (Respondent) General Securities Representative CRD No. 68881 Pursuant to FINRA Rule 9216, Respondent William H. Dixon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
