Government Shutdown Information

2019064773901 Robert Nordaune CRD 2313216 AWC sl (2020-1591575567817).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064773901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Nordaune, Respondent CRD No. 2313216 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Robert Nordaune submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violation described below.

SR-FINRA-2020-015

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rules primarily to provide FINRA with temporary relief from certain timing, method of service and other procedural requirements during the period in which FINRA’s operations are impacted by the outbreak of the coronavirus disease (COVID-19).

SR-FINRA-2020-015

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules primarily to provide FINRA with temporary relief from certain timing, method of service and other procedural requirements during the period in which FINRA’s operations are impacted by the outbreak of the coronavirus disease (COVID-19). The temporary amendments are in effect through April 30, 2021, pending any future extensions.

2018057742501 BB&T Securities, LLC CRD 142785 AWC sl (2020-1591489169269).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: BB&T Securities, LLC, Respondent Member Firm CRD No. 142785 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BB&T Securities, LLC (“BB&T” or the “firm”) 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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