2020065037601 Larry Bowman CRD 2349910 AWC jlg (2021-1617581998758).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065037601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Larry Bowman (Respondent) Former General Securities Representative (GSR) CRD No. 2349910 Pursuant to FINRA Rule 9216, Respondent Larry Bowman 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 21-11

Summary

FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions. 

The proposed rule text marked to show changes from the current rule text is available in Attachment A. 

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