Election Notice - 10/23/2023
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023, are eligible to vote in these elections.
2015044336601 BGC Financial, L.P. CRD No. 19801 AWC gg (2023-1700353201860).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2015044336601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: BGC Financial, L.P. (Respondent)
Member Firm
CRD No. 19801
Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079974701 Richard Leininger CRD 809473 AWC gg (2023-1700353207300).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079974701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Richard Leininger (Respondent)
General Securities Representative
CRD No. 809473
Pursuant to FINRA Rule 9216, Respondent Richard Leininger 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 - 10/23/2023
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested: