2019062347102 Adam Gerard Belardino CRD 5221927 Complaint sl (2021-1623543629188).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam Gerard Belardino CRD No. 5221927, Respondent. Disciplinary Proceeding No. 2019062347102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Adam Gerard Belardino failed on two occasions to appear for on-the-record (“OTR”) testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Belardino violated FINRA Rules 8210 and 2010.

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.

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