Feral Talib

Feral Talib is an Executive Vice President and the Head of Surveillance and Market Intelligence in FINRA’s Market Regulation and Transparency Services (MRTS) department, with responsibility for leading FINRA’s market surveillance programs.

Regulatory Notice 24-01

FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.

2014041809401 Interactive Brokers LLC CRD 36418 AWC vr (2024-1705882796517).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041809401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC (Respondent) Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216, Respondent Interactive Brokers LLC (Interactive) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070397401 Mitchell S. Morrison CRD 728484 AWC vr (2024-1705882796519).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070397401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mitchell S. Morrison (Respondent) Former General Securities Representative CRD No. 728484 Pursuant to FINRA Rule 9216, Respondent Mitchell S. Morrison 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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