Government Shutdown Information

2023080682201 Matthew J. Chimento CRD 5749914 AWC lp (2024-1713486015701).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080682201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew J. Chimento (Respondent) Former General Securities Representative CRD No. 5749914 Pursuant to FINRA Rule 9216, Respondent Matthew J. Chimento submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 24-08

Summary

FINRA has amended FINRA Rule 4210 (Margin Requirements) to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that are written against products that track the same underlying index. Referred to as “protected” option or warrant positions, the new exception conforms with similar provisions Cboe recently adopted. The amendments are effective as of the date of issuance of this Notice.

2023079086301 Rista S. Haque CRD 7698052 AWC vr (2024-1713399610323).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079086301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rista S. Haque (Respondent) CRD No. 7698052 Pursuant to FINRA Rule 9216, Respondent Rista S. Haque submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072581101 M1 Finance LLC CRD 281242 AWC vr (2024-1713399610327).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072581101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: M1 Finance LLC (Respondent) Member Firm CRD No. 281242 Pursuant to FINRA Rule 9216, Respondent M1 Finance LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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