2018059155701 Robert Henry Forsyth CRD 1425529 AWC va (2019-1569629980923).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059155701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert Henry Forsyth, Respondent General Securities Representative CRD No. 1425529 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Henry Forsyth ("Forsyth" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

SR-FINRA-2019-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 7640B (Data Products Offered By NYSE) to (1) describe FINRA’s practices relating to the distribution of market data for over-the-counter (“OTC”) transactions in NMS stocks generated through the operation of the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) by NYSE Market (DE), Inc.

SR-FINRA-2019-006

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Capital Acquisition Broker (“CAB”) Rules governing qualification, registration and continuing education of associated persons of CABs (CAB Rules 119-125) to reflect new consolidated FINRA qualification and registration rules and changes to its continuing education requirements which took effect on October 1, 2018 (collectively, the “Consolidated Rules”).

2018058777101 Kari Ann Buckles CRD 6443019 AWC va (2019-1569543582073).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058777101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kari Ann Buckles, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6443019 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kari Ann Buckles submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
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