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Regulation Best Interest: Implementing a New Standard of Conduct

As of June 30, 2020, the U.S. Securities and Exchange Commission’s Regulation Best Interest—or Reg BI—is officially in effect. What does a post implementation-date world look like? And how is FINRA working to ensure a consistent approach to examining around and enforcing the new regulation? Tune in to learn more.

2019063918601 Anthony Glenn Hall CRD 5546165 AWC sl (2020-1596673169403).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063918601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Glenn Hall, Respondent Former General Securities Representative CRD No. 5546165 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Anthony Glenn Hall (“Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065734401 Elizabeth A Morrell CRD 4905003 AWC sl (2020-1596673170274).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065734401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Elizabeth A. Morrell, Respondent Former General Securities Representative and Investment Company and Variable Products Representative CRD No. 4905003 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Elizabeth A. Morrell submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the

2020066576201 Wesley James Evans CRD 6617516 AWC sl (2020-1596673169840).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066576201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wesley James Evans Respondent Former Registered Representative CRD No. 6617516 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Wesley James Evans (Evans) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

19-02595.pdf

19-03036.pdf

2019061646402 Eugene J. Long CRD 2386267 AWC va (2020-1596327568667).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061646402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eugene J. Long, Respondent General Securities Representative and General Securities Principal CRD No. 2386267 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Eugene J. Long 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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