Information Notice 05/01/24

Summary

Effective May 22, 2024, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $8.00 per million dollars in transactions to a new rate of $27.80 per million dollars in transactions.

Finance-related questions should be directed to:

  • Amanda Rath, Manager, Finance, at (240) 386-6637 or by email.

Legal and interpretive questions should be directed to:

2018060128401 Michael Charles Grande CRD 1219255 Complaint lp (2024-1716596408573).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Charles Grande CRD No. 1219255, Respondent. Disciplinary Proceeding No. 2018060128401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On November 13, 2023, and November 28, 2023, FINRA sent Respondent Michael Charles Grande (“Grande”) request letters pursuant to FINRA Rule 8210, requiring him to provide information related to mutual fund transactions that he recommended to customers. Grande failed to provide information in response to these requests.
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