SR-FINRA-2023-004

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Research Analyst (Series 86/87) exam program, including a reduction of the number of scored questions on the Series 86 exam.

2018057732801 Fenix Securities, LLC CRD 159481 AWC va (2023-1680222012417).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057732801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fenix Securities, LLC (Respondent) Member Firm CRD No. 159481 Pursuant to FINRA Rule 9216, Respondent Fenix Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022074814601 Thomas M. O'Keefe CRD 7421625 AWC lp-1 (2023-1680222012430).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074814601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas M. O’Keefe (Respondent) Former Non-Registered Associated Person CRD No. 7421625 Pursuant to FINRA Rule 9216, Respondent Thomas M. O’Keefe 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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