SR-FINRA-2022-029
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed 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. The proposed rule change would not make any changes to the text of FINRA rules.
Election Notice - 10/24/2022
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
2020068495401 Mihir Patel CRD 5000904 AWC va (2022-1668644413209).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 202006849S401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Mihir Patel (Respondent)
Former General Securities Representative
CRD No. 5000904
Pursuant to FINRA Rule 9216, Respondent Mihir Patel submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2020067548401 Dealerweb Inc. CRD 19662 AWC va (2022-1668644413990).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067548401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Dealerweb Inc. (Respondent)
Member Firm
CRD No. 19662
Pursuant to FINRA Rule 9216, Respondent Dealerweb Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
cDROP
Certified Deferred Retirement Option Plan Consultant (cDROP)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | DROP Institute |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must hold a Series 7, Series 6 or Series 65 registration or any applicable recognized financial services industry license or certification relating to management of money |
| Designation Training Requirements | Self-study training program |
| Designation Exam Type | Online, closed-book course exam |
| Continuing Education Requirements | 15 hours every two years |
| Verification and Complaints | |
| Online Designation Resource | Online resource for investors who register as members at http://www.dropinstitute.com |
| Investor Complaint Process | Email complaints to [email protected] with the subject line “Complaint against CDROP Professional,” or send by mail to DROP Institute, 1 Ardmore Street, New Windsor, NY 12553. |
| Published List of Disciplined Designees | None |