Government Shutdown Information

2018058120201 Drew R. Mantel CRD 2636917 AWC jlg (2021-1610670002569).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058120201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Drew R. Mantel (Respondent) Former General Securities Representative CRD No. 2636917 Pursuant to FINRA Rule 9216, Respondent Drew R. Mantel 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-2020-044

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 7610A to modify the securities transaction credits applicable to non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).

2019063613303 Marisa Kathleen Quintero CRD 6346508 AWC va (2021-1610583594328).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063613303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marisa Kathleen Quintero, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6346508 Pursuant to FINRA Rule 9216, Respondent Marisa Kathleen Quintero 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-2020-044

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 7610A to modify the securities transaction credits applicable to non-Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).

Election Notice – 12/15/20

Executive Summary

FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC), and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and appointed to the Regional Committees, SFAC and NAC.

2019062479101 Michael T. Norvet CRD 6820395 AWC sl (2021-1610583594474).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062479101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael T. Norvet (Respondent) Former Associated Person CRD No. 6820395 Pursuant to FINRA Rule 9216, Respondent Michael T. Norvet submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that
Subscribe to