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Regulatory Notice 23-21

Summary

Through its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect to these rules that may result from the misapplication of ASC 606.

Questions regarding this Notice should be directed to:

2022073421201 Ronald Bucher CRD 1804910 AWC lp (2024-1705796398474).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064529901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick R. Watson (Respondent) Former General Securities Representative; Former General Securities Sales Supervisor CRD No. 1303088 Pursuant to FINRA Rule 9216, Respondent Frederick R. Watson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064529901 Frederick R. Watson CRD 1303088 AWC lp (2024-1705796403357).pdf

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FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program - Week I

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