2021070708401 Penny S. Morgan CRD 2153652 AWC lp (2022-1669594795078).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070708401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Penny S. Morgan (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2153652 Pursuant to FINRA Rule 9216, Respondent Penny S. Morgan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071333401 Trent J. Davis CRD 5523922 AWC gg (2022-1669594796209).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071333401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Trent J. Davis (Respondent) Former General Securities Representative CRD No. 5523922 Pursuant to FINRA Rule 9216, Respondent Trent J. Davis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2022-029

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 October 31, 2022, to January 31, 2023.

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