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2022077350301 Leslie D. Jackson CRD 2176917 AWC vr (2023-1697761204987).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077350301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Leslie D. Jackson (Respondent) Former General Securities Representative CRD No. 2176917 Pursuant to FINRA Rule 9216, Respondent Leslie D. Jackson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078603801 Ron Ernest Filoramo CRD 3270398 AWC lp (2023-1697674807689).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078603801 TO: Department of Enforcement Financial Industry Regulatory Authority (FlNRA) RE: Ron Ernest Filoramo (Respondent) Fonner General Securities Representative CRD No. 3270398 Pursuant to FINRA Rule 9216, Respondent Ron Filoramo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA’s Blockchain Lab: Regulation and Innovation For The Future

In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives to learn about how the Lab is supporting and advancing FINRA's regulatory work involving crypto assets.