Robert Muh Comment On Regulatory Notice 21-17
Becoming a registered person has not been an easy or inexpensive process. In 2018, FINRA’s creation of the Securities Industry Essentials (SIE) exam was a significant step in simplifying the process for an individual to demonstrate basic industry knowledge. The SIE is open anyone over age 18 and, most importantly, association with a member firm is not required. Passing the SIE, however, does not qualify an individual for registration with a FINRA member firm or to engage in the securities business.
2020068525301 John E. Simmons, Jr. CRD 4878890 AWC va (2021-1623284426897).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068525301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John E. Simmons, Jr. (Respondent) Former General Securities Representative CRD No. 4878890 Pursuant to FINRA Rule 9216, Respondent John E. Simmons, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.