Information Notice - 11/21/22
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 25, 2022 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.
2022 Firm Grouping Conference
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout sessions tailored to their firm grouping.
2019063024201 Citigroup Global Markets Inc. CRD 7059 AWC lp (2022-1671322798409).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019063024201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Citigroup Global Markets Inc. (Respondent)
Member Finn
CRDNo. 7059
Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020067014001 Edward L. Turley CRD 1872294 AWC lp (2022-1671322802494).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2020067014001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Edward L. Turley (Respondent)
Former General Securities Representative
CRD No. 1872294
Pursuant to FINRA Rule 9216, Respondent Edward L. Turley submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
Srivatsan Murthy Comment On Regulatory Notice 22-08
Please let individual investors be able to invest in proshares