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:

2021070708401 Penny S. Morgan CRD 2153652 AWC lp (2022-1669594795078).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070708401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Penny S. Morgan (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2153652 Pursuant to FINRA Rule 9216, Respondent Penny S. Morgan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071333401 Trent J. Davis CRD 5523922 AWC gg (2022-1669594796209).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071333401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Trent J. Davis (Respondent) Former General Securities Representative CRD No. 5523922 Pursuant to FINRA Rule 9216, Respondent Trent J. Davis 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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