3241. Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer

(a) Obligations of the Registered Person 
(1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied:
(A) The customer is a member of the registered person's immediate family; or
(B) Upon learning of such status, the registered person provides written notice describing the proposed status to the member wi

2019064313901 Paramveer Singh CRD 5224401 Complaint va (2020-1606695595498).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paramveer Singh CRD No. 5224401, Respondent. Disciplinary Proceeding No. 2019064313901 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On May 30, 2019, while registered through BofA Securities, Inc. (BofA), Respondent

Regulatory Notice 20-39

Summary

The 2021 Renewal Program begins on November 16, 2020, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.

Firms should note the following key dates in the renewal process:

October 19, 2020         Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via CRD/IARD.

SR-FINRA-2020-039

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to amend FINRA rules to reflect name changes to two FINRA departments: the Office of Dispute Resolution and the Department of Registration and Disclosure.

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