2020068197401 Goldman Sachs & Co. LLC CRD 361 AWC gg (2023-1694823602356).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068197401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC 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 23-13

Summary

FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.

Questions concerning this Notice should be directed to:

2021069368801 CoreCap Investments, LLC CRD 37068 AWC gg (2023-1694737208009).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069368801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CoreCap Investments, LLC (Respondent) Member Firm CRD No. 37068 Pursuant to FINRA Rule 9216, Respondent Corecap Investments, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2014040164801 3-20317 Sandeep Varma CRD 1926613 SEC Decision jlg (2023-1694737208188).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 98102 / August 10, 2023 Admin. Proc. File No. 3-20317 In the Matter of the Application of SANDEEP VARMA For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF FINRA ACTION Associated person of FINRA member firm filed application for review of FINRA’s denial of his request to expunge information about a Letter of Acceptance, Waiver, and Consent from FINRA’s Central Registration Depository.

Ensure Discrepancies are Reported or Balance is Paid

Firms must submit any amount owed on the Final Statement to FINRA by this day. Money can be deposited directly into the Renewal Account, or firms can rely on FINRA to transfer funds from the firm's Flex-Funding Account beginning Jan. 26. In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding Account. See the Renewal Payment Options page for more information.

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