2019061086303 John W Loofbourrow CRD 312494 AWC sl (2020-1594513168864).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019061086303
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: John W. Loofbourrow, Respondent
General Securities Principal, General Securities Representative, Financial and Operations Principal, Municipal Securities Principal, Investment Banking Representative, Investment Banking Principal, Compliance Officer and Operations Professional CRD No. 312494
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure,
2018056858101 SagePoint Financial, Inc. CRD 133763 AWC va (2020-1594426769569).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056858101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SagePoint Financial, Inc., Respondent Member Firm CRD No. 133763 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent SagePoint Financial, Inc. 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-2020-017
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-015 from June 15, 2020 to July 31, 2020. In response to the impacts on FINRA’s operations caused by the outbreak of the coronavirus disease (COVID-19), SR-FINRA-2020-015 temporarily modified some timing, method of service and other procedural requirements in FINRA rules through June 15, 2020.
2019062428401 Bradley Scott Kyburz CRD 2969350 AWC va (2020-1594426769519).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062428401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Scott Kyburz, Respondent Investment Company and Variable Contracts Product Representative CRD No. 2969350 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bradley Scott Kyburz ("Kyburz" 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.
Technical NoticeFINRA OTCE and OTC Transparency Data Websites Availability
June 10, 2020
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, June 13, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
Regulatory Notice 20-17
Summary
FINRA is adding two new Rule 4530 Problem Codes related to SEC Regulation Best Interest (Reg BI) and Form CRS, and making related amendments to the existing Rule 4530 Problem Code related to suitability. Starting on July 18, 2020, firms can use new Problem Code 16–Reg BI and new Problem Code 17–Form CRS, when applicable, to report customer complaint information and required documents filed under Rules 4530(f) and (g).1