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New Members Appointed to FINRA Foundation Board; Jonathan Sokobin Named Chair

New members have been appointed to the Board of Directors of the non-profit FINRA Investor Education Foundation (FINRA Foundation), and Jonathan Sokobin has been named Chair, effective February 12, 2024.

2018057023701 TradeStation Securities, Inc. CRD 39473 AWC gg (2024-1710116412110).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057023701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeStation Securities, Inc. (Respondent) Member Firm CRD No. 39473 Pursuant to FINRA Rule 9216, Respondent TradeStation 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.

23-02128.pdf

23-01811.pdf

23-00393.pdf

CDAA

Chartered Digital Asset Analyst (CDAA)

Designation Essentials
Status	Currently offered and recognized by the issuing organization
Issuing Organization	DEC Institute
Qualification and Training Requirements
Prerequisites	Level I: None Level II: Candidates must have passed the Level I exam and must be an undergraduate student, hold a bachelor’s degree, or have six months of industry experience.
Designation Training Requirements	Optional online training course and self-study materials
Designation Exam Type	Two proctored final exams (Level I and Level II), online or in person
Continuing Education Requirements	30 hours every three years
Verification and Complaints
Online Designation Resource	None
Investor Complaint Process	None
Published List of Disciplined Designees	None

Market Transparency Holiday Reminder

CBA

Chartered Blockchain Analyst (CBA)

Designation Essentials
Status	Currently offered and recognized by the issuing organization
Issuing Organization	DEC Institute
Qualification and Training Requirements
Prerequisites	Level I: None Level II: Candidates must have passed the Level I exam and must be an undergraduate student, hold a bachelor’s degree, or have six months of industry experience.
Designation Training Requirements	Optional online training course and self-study materials
Designation Exam Type	Two proctored final exams (Level I and Level II), online or in person
Continuing Education Requirements	30 hours every three years
Verification and Complaints
Online Designation Resource	None
Investor Complaint Process	None
Published List of Disciplined Designees	None

20-01555.pdf

2022076763001 Grant Douglas Johnson CRD 2355556 AWC lp (2024-1710029994774).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076763001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Grant Douglas Johnson (Respondent) Former General Securities Representative and Investment Banking Representative CRD No. 2355556 Pursuant to FlNRA Rule 9216, Respondent Grant Douglas Johnson 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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