19-00671.pdf
Image converted to PDF format.
2018058316601 Stefan Pastor CRD 5141819 AWC va.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058316601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stefan Pastor, Respondent General Securities Representative CRD No. 5141819 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stefan Pastor ("Pastor" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of
18-04433.pdf
NWAWD-New Code Award Template
Election Notice – 9/4/19
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. One seat on the SFAC is up for election, representing the New York region.
Election Notice – 9/4/19
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule changes. In general, Regional Committees hold meetings twice per year in locations within the respective region (although meeting schedules and frequency may vary by region).