2022074183401 Deloitte Corporate Finance, LLC CRD 111747 AWC va (2023-1675902013480).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074183401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deloitte Corporate Finance, LLC (Respondent) Member Firm CRD No. 111747 Pursuant to FINRA Rule 9216, Respondent Deloitte Corporate Finance, LLC (DCF) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070461801 Clinton F. Byrd CRD 4673625 AWC lp (2023-1675902013631).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070461801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clinton F. Byrd (Respondent) Former General Securities Representative CRD No. 4673625 Pursuant to FINRA Rule 9216, Respondent Clinton F. Byrd 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 Report on Exam and Risk Monitoring Program

Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings

WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.

The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics — relevant to the evolving securities industry.

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