2022077093901 Darrell Layman CRD 4372889 AWC gg (2024-1712794820455).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077093901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Darrell Layman (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4372889 Pursuant to FINRA Rule 9216, Respondent Darrell Layman 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 24-07

Summary

In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB).

Subscribe to