2014041809401 Interactive Brokers LLC CRD 36418 AWC vr (2024-1705882796517).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041809401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC (Respondent) Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216, Respondent Interactive Brokers LLC (Interactive) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070397401 Mitchell S. Morrison CRD 728484 AWC vr (2024-1705882796519).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070397401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mitchell S. Morrison (Respondent) Former General Securities Representative CRD No. 728484 Pursuant to FINRA Rule 9216, Respondent Mitchell S. Morrison submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice – 12/22/2023

Executive Summary

FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the NAC, and candidates for vacant Regional Committee seats were also appointed. This Notice lists the individuals recently elected and appointed to the SFAC, Regional Committees and NAC.    

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