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.

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.
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