CAT 101 Industry Webinar

On Wednesday, January 8, 2020, at 2 pm ET, Consolidated Audit Trail, LLC and FINRA CAT, LLC will host a CAT 101 Industry Webinar. This Webinar is designed for Industry Members that may be new to, or less familiar with, CAT and will provide an introduction to the reporting requirements, timelines and mechanics of the Consolidated Audit Trail. The event will be held at 2 pm ET.

Regulatory Notice 20-01

Executive Summary

FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. The payment deadline is January 17, 2020.

Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.

2018060415301 Howard Brian Landers CRD 1233612 AWC sl (2020-1579825173117).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060415301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howard Brian Landers, Respondent Former General Securities Principal CRD No. 1233612 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Howard Brian Landers submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

2013035865303 Spencer Edwards, Inc. CRD 22067 NAC Decision sl (2020-1579825170979).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Spencer Edwards, Inc. Centennial, CO, Respondent. DECISION Complaint No. 2013035865303 Dated: December 10, 2019 Spencer Edwards: (1) sold unregistered and nonexempt microcap securities; (2) failed to establish and maintain a supervisory system, including written supervisory procedures, that was reasonably designed to prevent the sale of

5110. Corporate Financing Rule — Underwriting Terms and Arrangements

(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a managing underwriter or in a similar capacity must noti
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