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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.

20-03720(3).pdf

Motion to Vacate

21-00664.pdf

22-00816(3).pdf

Motion to Vacate

19-03035(1).pdf

Amended

22-00388.pdf

21-02942.pdf

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.

2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program

The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. On this episode, three Member Supervision senior leaders join us to dig into some of the new and noteworthy regulatory topics in the 2023 Report on FINRA’s Examination and Risk Monitoring Program.

17-01930(4).pdf

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