15-03120(6).pdf
other - appeal denied
15-03120(5).pdf
other - appeal
SEC 17a-4 Third Party Undertakings Due
Because the language of the Third-Party Access Undertaking has been revised, firms electing to continue using their current third-party access arrangements to comply with Rule 17a-4(f) must ensure that the third party files new undertakings including the amended language with the brokerdealer’s DEA. These new undertakings must be submitted to the broker-dealer’s DEA by May 3, 2023.
2021070778601 Drake Uplinger CRD No. 6922112 AWC gg (2023-1684714797752).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070778601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Drake Uplinger (Respondent)
Former General Securities Representative
CRD No. 6922112
Pursuant to FINRA Rule 9216, Respondent Drake Uplinger submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
FINRA Publishes 2023 Industry Snapshot
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and certain demographic changes of FINRA-registered representatives.