SR-FINRA-2020-017

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-015 from June 15, 2020 to July 31, 2020. In response to the impacts on FINRA’s operations caused by the outbreak of the coronavirus disease (COVID-19), SR-FINRA-2020-015 temporarily modified some timing, method of service and other procedural requirements in FINRA rules through June 15, 2020. 

2019062428401 Bradley Scott Kyburz CRD 2969350 AWC va (2020-1594426769519).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062428401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Scott Kyburz, Respondent Investment Company and Variable Contracts Product Representative CRD No. 2969350 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bradley Scott Kyburz ("Kyburz" or "Respondent") 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 20-17

Summary

FINRA is adding two new Rule 4530 Problem Codes related to SEC Regulation Best Interest (Reg BI) and Form CRS, and making related amendments to the existing Rule 4530 Problem Code related to suitability. Starting on July 18, 2020, firms can use new Problem Code 16–Reg BI and new Problem Code 17–Form CRS, when applicable, to report customer complaint information and required documents filed under Rules 4530(f) and (g).1

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