SR-FINRA-2022-015

Rule Filing Status:  Approved

Rule change to amend Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a “Restricted Firm” pursuant to Rule 4111 (Restricted Firm Obligations) and Rule 9561 (Procedures for Regulating Activities Under Rule 4111).

 

2022073991601 Shahab S. TagnaviDinani CRD 2503652 AWC gg (2023-1685665205207).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073991601 TO: Department of Enforcement Financial Industiy Regulato1y Authority (FINRA) RE: Shahab S. TagnaviDinani (Respondent) General Securities Representative CRD No. 2503652 Pursuant to FINRA Rule 9216, Respondent Shahab S. TagnaviDinani submits this Letter of Acceptance, Waiver, and Consent (A WC) for the pmpose of proposing a settlement of the alleged rnle violations described below.

2022075288901 International Research Securities, Inc. CRD 19532 AWC vr (2023-1685665206251).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075288901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: International Research Securities, Inc. (Respondent) Member Firm CRD No. 19532 Pursuant to FINRA Rule 9216, Respondent International Research Securities, Inc. 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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