Government Shutdown Information

2018057240801 Alan H. New CRD 2892508 AWC sl (2020-1588983571543).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057240801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan H. New, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2892508 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alan H. New submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018058642601 Steven Jun Lu CRD 6856088 AWC sl (2020-1588983571619).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058642601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Jun Lu, Respondent Investment Company and Variable Contracts Products Representative CRD No. 6856088 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Jun Lu submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017054642101 Northwestern Mutual Investment Services, LLC CRD 2881 AWC sl (2020-1588983571360).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054642101 T0: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Northwestern Mutual Investment Services, LLC, Respondent Member Firm CRD No. 2881 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Northwestern Mutual Investment Services, LLC (“NMIS,” the “Firm,” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the

Information Notice – 4/8/20

FINRA is issuing this Information Notice to inform members of the existence and role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.

Please see the attached ISG CMRWG Regulatory Memorandum 2020-01 (“Notice”) that was issued by the Participants of the ISG CMRWG. Questions concerning this Notice should be directed to [email protected]. 

2018057098801 Timothy B. Hetrick CRD 2048466 AWC va (2020-1588897168359).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057098801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy B. Hetrick, Respondent Registered Representative CRD No. 2048466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Timothy B. Hetrick 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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