2018058148801 Thomas M. Murphy CRD 5654189 AWC va (2020-1584663567352).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058148801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas M. Murphy, Respondent Former General Securities Representative CRD No. 5654189 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas M. Murphy submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 20-05

Summary

FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional formats, publicize the learning topics in advance and enhance the related management systems; (2) Firm Element to expressly recognize other training requirements, improv

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