FINRA Is Open

2020065693301 M B Schreiber CRD No. 1032600 AWC gg (2022-1669854011068).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 202006S693301 TO: Department of Enforcement Financial Industry Regulatory Authority RE: M B Schreiber (Respondent) General Securities Representative CRD No. 1032600 Pursuant to FINRA Rule 9216, Respondent MB Schreiber submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068885201 Scott G. Warnock CRD 2764181 AWC lp (2022-1669854011364).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068885201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott G. Warnock (Respondent) General Securities Representative CRD No. 2764181 Pursuant to FINRA Rule 9216, Respondent Scott G. Warnock 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-2022-030

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) under FINRA Rule 3110 (Supervision).

2020067000501 RBC Capital Markets, LLC CRD 31194 AWC lp (2022-1669854011251).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067000501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Finn CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC (RBC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-23

Summary

Member firms often encourage registered representatives to have succession plans in place to plan for expected or unexpected life events. Succession planning can benefit customers, member firms and registered representatives. This Notice discusses these benefits, as well as common types of succession plans. This Notice also provides an overview of related FINRA rules and administrative processes and includes questions to consider when developing and implementing succession plans.

Questions regarding this Notice should be directed to:

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