Report From FINRA Board of Governors Meeting – May 2023

Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees

WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.

2018058111301 J.P. Morgan Securities, LLC CRD 79 AWC gg (2023-1687393213099).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058111301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.P. Morgan Securities LLC (Respondent) Member Firm CRD No. 79 Pursuant to FINRA Rule 9216, Respondent J.P. Morgan Securities LLC 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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