SEC 17a-4 Third Party Undertakings Due

Because the language of the Third-Party Access Undertaking has been revised, firms electing to continue using their current third-party access arrangements to comply with Rule 17a-4(f) must ensure that the third party files new undertakings including the amended language with the brokerdealer’s DEA. These new undertakings must be submitted to the broker-dealer’s DEA by May 3, 2023.

2021070778601 Drake Uplinger CRD No. 6922112 AWC gg (2023-1684714797752).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070778601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Drake Uplinger (Respondent) Former General Securities Representative CRD No. 6922112 Pursuant to FINRA Rule 9216, Respondent Drake Uplinger submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA Publishes 2023 Industry Snapshot

Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot

WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and certain demographic changes of FINRA-registered representatives.

2019063749201 Todd Ray Anderson CRD No. 1896352 AWC gg (2023-1684628406430).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063749201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Ray Anderson (Respondent) General Securities Representative CRD No. 1896352 Pursuant to FINRA Rule 9216, Respondent Todd Ray Anderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to