Kayte Toczylowski
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which includes FINRA conferences and other member firm educational offerings such as the FINRA Institute at Georgetown for the Certified Regulatory and Compliance Professional (CRCP)® designation. Ms.
2017052473701 Louis Capital Markets, LP (nka Louis Capital Markets, LLC) CRD 48013 AWC jlg (2021-1617322803111).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT 2017052473701
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis Capital Markets, LP (n/k/a Louis Capital Markets, LLC) (Respondent) Member Firm CRD No. 48013 Pursuant to FINRA Rule 9216, Respondent Louis Capital Markets, LP submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2018060978901 Paul Andrew Schmitz CRD 1504838 AWC jlg (2021-1617236400865).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060978901
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Andrew Schmitz (Respondent)
General Securities Representative CRD No. 1504838 Pursuant to FINRA Rule 9216, Respondent Paul Andrew Schmitz submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Regulatory Notice 21-07
Summary
Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional information). These include volume-based discounts, such as breakpoints and waivers, on mutual fund exchanges. Failure to apply these discounts or waivers correctly may adversely affect customers’ rates of return on their investment and contravenes firms’ obligations under FINRA rules.
19-03351(2).pdf
Order to Confirm
FINRA Gateway Reports Enhancements
This webinar will provide a walkthrough of recent enhancements such as the ability to share, save as and new reporting templates.