SR-FINRA-2022-028
Rule Filing Status Report: Filed for Immediate Effectiveness
Rule change to amend paragraph (c) of FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) to clarify the application of specified FINRA rules to transactions in, and business activities relating to, exempted securities, including government securities (other than municipal securities).
2022073947701 Lisa Maria Idlett CRD 2932198 AWC lp (2022-1667089211829).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073947701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lisa Maria Idlett (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 2932198
Pursuant to FINRA Rule 9216, Respondent Lisa Maria Idlett 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-2022-028
Financial Industry Regulatory Authority, Inc.