2019064639702 Stephen Anthony Nappo CRD 1691373 AWC sl (2021-1609978798295).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064639702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Anthony Nappo (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 1691373 Pursuant to FINRA Rule 9216, Respondent Stephen Anthony Nappo 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-2020-043

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-026 from December 31, 2020, to April 30, 2021. Due to the impacts of COVID-19 on the administration of FINRA qualification examinations at test centers, SR-FINRA-2020-026 extended the 120-day period that certain individuals can function as a principal or Operations Professional without having successfully passed an appropriate qualification examination through December 31, 2020.

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