2022075017201 Matthew J. Mangini CRD 6527545 AWC lp (2023-1685060405199).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075017201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew J. Mangini (Respondent) Former Associated Person CRD No. 6527545 Pursuant to FINRA Rule 9216, Respondent Matthew J. Mangini submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-008

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1015, 9261, 9341, 9524 and 9830 and Funding Portal Rule 900 to allow for video conference hearings before the Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) under specified conditions.

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