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2024 FINRA Annual Conference - Washington, DC

FINRA's premier event—this conference provides the opportunity for practitioners, industry peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.

FINRA Small Firm Conference - Santa Monica, CA

The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

FINRA Firm Grouping Conference - Kissimmee, FL

FINRA’s Firm Grouping Conference is an in-person event designed to provide FINRA member firms the opportunity to engage in conversations on key topics tailored to each firm grouping. This conference also offers networking opportunities to meet with other professionals across firm segments and FINRA senior leadership including a significant presence of Member Supervision officers and senior directors.

Tune In to the Latest Episode of FINRA Unscripted


June 14, 2023

2022074969501 Michelle Wu CRD 3046373 AWC vr (2023-1689553206650).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074969501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michelle Wu (Respondent) Former General Securities Representative CRD No. 3046373 Pursuant to FINRA Rule 9216, Respondent Michelle Wu submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Extensions of Time Filing Schedule

How to File an Extension of Time With FINRA

23-00225.pdf

2022077422401 Andrew M. Komarow CRD 5838564 AWC lp (2023-1689466810184).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077422401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew M. Komarow Former General Securities Representative CRD No. 5838564 Pursuant to FINRA Rule 9216, Respondent Andrew M. Komarow submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072323701 Brody Bray CRD 4727529 AWC lp (2023-1689466810078).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072323701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brody Bray (Respondent) Former General Securities Representative CRD No. 4727529 Pursuant to FINRA Rule 9216, Respondent Brody Bray 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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