2022075871401 Ching Yuan “Gary” Chang CRD 2922898 AWC gg (2023-1674087613158).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075871401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ching Yuan “Gary” Chang (Respondent) Former General Securities Representative CRD No. 2922898 Pursuant to FINRA Rule 9216, Respondent Ching Yuan “Gary” Chang submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Registration Systems Foundation Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Registration Systems Foundation Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Registration Systems Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Registration Systems Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

2022073732001 Chuanbing Rong CRD 6931802 AWC gg (2023-1674087613661).pdf

LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073732001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chuanbing Rong (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 6931802 Pursuant to FINRA Rule 9216, Respondent Chaunbing Rong submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FCS Verification Period

As a reminder, FINRA Rule 4517 requires firms to complete an annual verification of their FINRA Contact System (FCS) contact information within the first 17 business days of each calendar year. Please log in to FINRA Gateway and perform your annual verification. This year’s deadline is Thursday, January 26, 2023.

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