SR-FINRA-2023-012

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary supplementary material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to include calendar year 2024.

2020069039301 William Donovan Ard CRD 1133673 AWC vr (2023-1698020407392).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020069039301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Donovan Ard (Respondent) Former General Securities Representative CRD No. 1133673 Pursuant to FINRA Rule 9216, Respondent William Donovan Ard 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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