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2017052494701 LPL Financial LLC CRD 6413 AWC gg (2024-1706314792253).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052494701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: LPL Financial LLC (Respondent) Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216, Respondent LPL Financial LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023-WestPark Capital, Inc. CRD 39914 AWC 2020067785302 (2024-1706314792245).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067785302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WestPark Capital, Inc. (Respondent) Member Firm CRD No. 39914 Pursuant to FINRA Rule 9216, Respondent WestPark Capital, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Feral Talib

Feral Talib is Executive Vice President, Market Surveillance within FINRA’s Regulatory Operations. In this role, Mr. Talib leads FINRA’s market surveillance program, overseeing the monitoring and detection of potential rule violations and risks across market and trading activity, intake and triage of potential issues, and efforts to advance FINRA’s surveillance and detection capabilities to further strengthen market oversight. Mr. Talib provides strategic oversight of the surveillance program to ensure alignment with FINRA's regulatory mission and emerging market priorities.

Regulatory Notice 24-01

FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.
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