Regulatory Notice 19-34
Summary
In April 2018, FINRA launched a retrospective review of the annual compliance meeting (ACM) requirement in Rule 3110(a)(7) and corresponding Supplementary Material .04 (SM .04), to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant and appropriately designed to achieve their regulatory objectives, particularly in light of industry, market, and technology changes.
2018057815601 Elton Norman CRD 6402086 AWC jm (2019-1573949996312).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057815601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elton Norman, Respondent General Securities Representative CRD No. 6402086 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elton Norman submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Election Notice – 10/21/19
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which their firm is headquartered.
Ballots are due by Wednesday, November 20, 2019.
2018057553801 Charles Bridgers CRD 1226108 AWC va (2019-1573863567670).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057553801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Bridgers, Respondent CRD No. 1226108 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Election Notice – 10/21/19
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms are urged to vote in this election.
Ballots are due by Wednesday, November 20, 2019.
2019064149701 Jason Lee Ballor CRD 6853439 AWC va (2019-1573863588641).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jason Lee Ballor ("Ballor" or "Respondent") Associated Person of a Funding Portal Member CRD No. 6853439 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jason Lee Ballor submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.