SR-FINRA-2022-017

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities on a more frequent basis.

2020068090201 Kenneth Lawrence Spielman CRD 2503634 AWC gg (2022-1658622022303).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068090201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kenneth Lawrence Spielman (Respondent) General Securities Representative CRD No. 2503634 Pursuant to FINRA Rule 9216, Respondent Kenneth Lawrence Spielman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063245602 James Patrick Norris CRD 1218218 AWC va (2022-1658622022315).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063245602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Patrick Norris (Respondent) General Securities Representative CRD No. 1218218 Pursuant to FINRA Rule 9216, Respondent James Patrick Norris submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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