Government Shutdown Information

2019063229301 Marcus A. Beasley CRD 3157595 AWC sl (2020-1605313168336).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063229301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marcus A. Beasley (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 3157595 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Marcus A. Beasley submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

Information Notice - 10/15/20

Summary

A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) code, to provide the authentication.

2019063383301 Sonia Maria Fernandez CRD 4130144 AWC va (2020-1605226768799).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063383301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sonia Maria Fernandez, Respondent General Securities Representative CRD No. 4130144 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sonia Maria Fernandez 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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