Government Shutdown Information

2018059219401 Lila Marie Stokkeland CRD 2872259 AWC va (2020-1582935569252).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059219401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lila Marie Stokkeland, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2872259 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lila Marie Stokkeland ("Stokkeland") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057846301 Kevin Kimball Meadows CRD 2878889 AWC sl (2020-1582935570376).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057846301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Kimball Meadows, Respondent General Securities Representative CRD No. 2878889 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kevin Kimball Meadows 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-2020-003

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to provide members with additional time to migrate their trade reporting processes to connect to TRACE through a permissible means other than Computer-to-Computer Interface (“CTCI”).

Regulatory Notice 20-04

Summary

FINRA’s CAB rules provide a simplified rulebook for broker-dealers that engage only in limited capital advisory, corporate restructuring and private placement activities. FINRA is requesting comment on proposed amendments to the CAB rules to make them more useful to CABs without reducing investor protection.

The proposed rule text is available in Attachment A. 

Questions regarding this Notice should be directed to: 

SR-FINRA-2020-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide members with additional time to migrate their trade reporting processes to connect to TRACE through a permissible means other than Computer-to-Computer Interface (“CTCI”).  

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