23-02476(2).pdf
Amended
2023079280501 Eric A. Dupre CRD 2174456 AWC lp (2025-1755390002437).pdf
From September 2022 through February 2023, Dupre borrowed at least $2,236,000 from
two customers without providing prior notice to, or obtaining written approval from, his
FINRA member firm, in violation of FINRA Rules 3240 and 2010.
For these violations, Dupre is barred from associating with any FINRA member in all
capacities.
2021069348401 First Southern, LLC CRD 282756 AWC vr (2025-1755390002425).pdf
Since June 30, 2020, First Southern has failed to establish, maintain, and enforce written policies and procedures and a supervisory system reasonably designed to achieve compliance with Regulation Best Interest in violation of Securities Exchange Act Rule 15/-l(a)(l), MSRB Rule G-27, and FINRA Rules 3110 and 2010.
SR-FINRA-2025-012
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 6860 (Time Stamps) of FINRA’s compliance rule regarding the National Market System Plan Governing the Consolidated Audit Trail to be consistent with the exemptive relief granted by the Commission from certain provisions of the CAT NMS Plan related to time stamp granularity. Specifically, FINRA proposes to update the expiration date of the exemption in Rule 6860(a)(2) from April 8, 2025 to April 8, 2030.
