SR-FINRA-2023-001
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015 from January 31, 2023, to April 30, 2023.
SR-FINRA-2023-001
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-027 and the temporary amendments to FINRA Rule 9341(d).
2021072617401 Delmar Owen Moore CRD 5079080 AWC gg (2023-1676679609815).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072617401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Delmar Owen Moore (Respondent)
Former General Securities Representative
Former Investment Company and Variable Contracts Products Representative
CRD No. 5079080
Pursuant to FINRA Rule 9216, Respondent Delmar Owen Moore (Moore) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged
rule violations described below.