2023080454101 Rosaline Alam CRD 5742202 AWC gg (2024-1720743612976).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080454101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rosaline Alam (Respondent) Former General Securities Representative CRD No. 5742202 Pursuant to FINRA Rule 9216, Respondent Rosaline Alam submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice - 06/14/2024

Summary

The annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.

2023080253301 Imdadur Rahman CRD 2476187 AWC vr (2024-1720743611092).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080253301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Imdadur Rahman (Respondent) General Securities Representative CRD No. 2476187 Pursuant to FINRA Rule 9216, Respondent Imdadur Rahman 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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