Information Notice - 7/1/24
FINRA is issuing this Information Notice to remind members of the role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.
Please see the attached ISG CMRWG Regulatory Memorandum 2024-01 (“Notice”) that was issued by the Participants of the ISG CMRWG. Questions concerning this Notice should be directed to [email protected].
2024082541001 Jeffrey T. Higgins CRD 2871443 AWC lp (2024-1722471612610).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024082541001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey T. Higgins (Respondent)
Former General Securities Representative
CRD No. 2871443
Pursuant to FINRA Rule 9216, Respondent Jeffrey T. Higgins submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2024081405001 Jeffrey Payne CRD 2160235 AWC lp (2024-1722471622099).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081405001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey Payne (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 2160235
Pursuant to FINRA Rule 9216, Respondent Jeffrey Payne submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
23-03171(2).pdf
Expungement Award
FINRA Disclosure Reporting Boot Camp
FINRA In-Person Disclosure Reporting Boot Camp includes two days of training on reporting disclosure events for registered individuals. This training is designed for compliance personnel at FINRA member firms who are new to submitting disclosure filings in FINRA Gateway or want to review best practices for reporting disclosable events.
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FINRA Registration Systems Foundation In-Person Training
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