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2019061872201 Wedbush Securities, Inc. CRD 877 AWC lp (2022-1666916413754).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061872201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities, Inc. (Respondent) Member Firm CRD No. 877 Pursuant to FINRA Rule 9216, Respondent Wedbush 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.

The Neutral Corner

2018057298702 Michael G. Seymour CRD 1597042 AWC lp (2022-1666916413826).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057298702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael G. Seymour (Respondent) General Securities Principal CRD No. 1597042 Pursuant to FINRA Rule 9216, Respondent Michael G. Seymour submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Amended Rules 1210 and 1240

This course provides an overview of the changes made to continuing education training, including the new Maintaining Qualifications Program (MQP).

MSRB Markups and Markdowns

This course provides an overview of pricing principal transactions in municipal securities according to MSRB Rule G-30. It also examines requirements for markup disclosure to non-institutional customers.

Net Capital Requirements and FOCUS Reports

This course reviews the necessary procedures to complete a balance sheet and calculate net capital. It also examines the completion of FOCUS reports and event-triggered reporting requirements.

AML Red Flags and Fraud

This course focuses on recognizing anti-money laundering (AML) red flags and other areas of concern in relation to customer account opening and suspicious activity in customer accounts. It also provides guidance on escalating issues to avoid the consequences of fraud and AML violations.