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.

2014043627501 SpeedRoute LLC CRD 104138 AWC jlg (2021-1623284427533).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014043627501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SpeedRoute LLC (Respondent) Member Firm CRD No. 104138 Pursuant to FINRA Rule 9216, Respondent SpeedRoute LLC 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-2021-010

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as approved by the SEC pursuant to SR-FINRA-2015-036.  The proposed rule change would amend, under FINRA Rule 4210, paragraphs (e)(2)(H), (e)(2)(I), (f)(6), and Supplementary Material .02 through .05, each as amended or established pursuant to SR-FINRA-2015-036.

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