2018057742501 BB&T Securities, LLC CRD 142785 AWC sl (2020-1591489169269).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: BB&T Securities, LLC, Respondent Member Firm CRD No. 142785 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BB&T Securities, LLC (“BB&T” or the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

2018058133301 Donald S. Woods CRD 727894 AWC va (2020-1591402765997).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058133301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donald S. Woods, Respondent Former General Securities Representative CRD No. 727894 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald S. Woods submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

9231. Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer

(a) Appointment
The Chief Hearing Officer shall appoint a Hearing Panel or an Extended Hearing Panel to conduct the disciplinary proceeding and issue a decision.
(b) Hearing Panel
The Hearing Panel shall be composed of a Hearing Officer and two Panelists, except as provided in paragraph (e) and in Rule 9234 (a), (c), (d), or (e).

SR-FINRA-2020-014

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 9231 to provide for the compensation of all panelists that serve in connection with a FINRA disciplinary hearing, regardless of whether it is an Extended or Non-Extended Hearing.

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