| FINRA.org

2017056516801 Lighthouse Capital Group, LLC CRD 169135 AWC lmp (2023-1680308410491).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056516801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lighthouse Capital Group, LLC (Respondent) Member Firm CRD No. 169135 Pursuant to FINRA Rule 9216, Respondent Lighthouse Capital Group, LLC 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-2023-004

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Research Analyst (Series 86/87) exam program, including a reduction of the number of scored questions on the Series 86 exam.

2018057732801 Fenix Securities, LLC CRD 159481 AWC va (2023-1680222012417).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057732801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Fenix Securities, LLC (Respondent) Member Firm CRD No. 159481 Pursuant to FINRA Rule 9216, Respondent Fenix Securities, LLC 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