Government Shutdown Information

2019063562901 Jean Connell Hicks CRD 1005922 AWC sl (2020-1597450770018).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063562901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jean Connell Hicks, Respondent Investment Company and Variable Contracts Products Representative CRD No. 1005922 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Jean Connell Hicks (Hicks or Respondent) 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-2020-021

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend Rule 2360 (Options) to increase the position and exercise limits for conventional options on certain exchange-traded funds (“ETFs”).

Technical Notice

U.S. Treasury Securities Executed to Hedge a Primary Market Transaction Production Test

July 15, 2020

Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.  See additional information regarding this change in Regulatory Notice 19-30.

2360. Options

(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under which the holder of the option has the right, in accordance with t

SR-FINRA-2020-021

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2360 (Options) to increase the position and exercise limits for conventional options on certain exchange-traded funds (“ETFs”).

Online Testing Technical Discussion: ProProctor Installation

Join FINRA and Prometric technologists for a discussion about the installation of ProProctor, a Prometric application that FINRA is using to deliver qualification exams online, on company-issued equipment. During these hour-long sessions, presenters will share resources and take questions from attendees.

Note: These webinars are intended for Information Technology staff with firms that plan to pursue remote testing on company-issued equipment.

Online Testing Technical Discussion: ProProctor Installation

Join FINRA and Prometric technologists for a discussion about the installation of ProProctor, a Prometric application that FINRA is using to deliver qualification exams online, on company-issued equipment. During these hour-long sessions, presenters will share resources and take questions from attendees.

Note: These webinars are intended for Information Technology staff with firms that plan to pursue remote testing on company-issued equipment.

2019061881501 Dawn Hare CRD 2654713 AWC va (2020-1597277972982).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061881501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawn Hare, Respondent Former General Securities Representative and General Securities Principal CRD No. 2654713 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dawn Hare 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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