2019063788401 Beth L. Klein Friedman CRD 1432633 AWC va (2021-1611274797099).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063788401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Beth L. Klein Friedman (Respondent) Former General Securities Representative CRD No. 1432633 Pursuant to FINRA Rule 9216, Respondent Beth L. Klein Friedman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-046

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to October 26, 2021, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016. 

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