FINRA Gateway Webinar

Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.

2017056520301 MML Investors Services, LLC CRD 10409 AWC jlg (2020-1587341969059).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056520301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MML Investors Services, LLC, Respondent Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent MML Investors Services, LLC ("MML" 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. This AWC is

2015046601401 Citigroup Global Markets Inc. CRD 7059 AWC jlg (2020-1587341968882).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046601401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("Respondent" 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. This AWC

2019061778602 Sofia T. Gonzalez CRD 6243469 AWC jlg (2020-1587341968959).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061778602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sofia T. Gonzalez, Respondent General Securities Representative CRD No. 6243469 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sofia T. Gonzalez (Gonzalez or Respondent) 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
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