2017052478901 Thomas Michael Rensvold CRD 1477615 AWC va (2020-1605485967472).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052478901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Michael Rensvold, Respondent General Securities Principal CRD No. 1477615 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Michael Rensvold 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-2020-036

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2021.

2019061008601 Montrose Securities International CRD 35603 Philip Y. Leung CRD 1121435 AWC va (2020-1605485967698).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061008601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Montrose Securities International (Respondent) Member Firm CRD No. 35603 Philip Y. Leung (Respondent) General Securities Principal and Introducing Broker-Dealer Financial and Operations Principal CRD No. 1121435 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Montrose Securities International and Philip Y.

Election Notice – 10/20/20

Executive Summary

The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South Region representative; and because no individuals self-nominated to run for the Midwest Region seat, this seat will be filled by appointment.

Subscribe to