Brant Brubaker Comment On Regulatory Notice 22-08

The United States if a free country. All regulatory agencies have a responsibility to protect our freedoms, not restrict them. All financial regulators have a responsibility to ensure investors are adequately informed, but they have no right to restrict our freedom to invest freely as we choose. By limiting access to investments, you limit innovation and also subject retail investors to the necessity of paying expensive fees to an investment advisor.

2020068346501 Amit Kumar Bhatia CRD 5305020 AWC gg (2022-1668212412874).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068346501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amit Kumar Bhatia (Respondent) General Securities Representative CRD No. 5305020 Pursuant to FINRA Rule 9216, Respondent Amit Kumar Bhatia submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061945201 Scotia Capital (USA) Inc. CRD No. 2739 AWC gg (2022-1668212412998).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061945201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scotia Capital (USA) Inc. (Respondent) Member Firm CRD No. 2739 Pursuant to FINRA Rule 9216, Respondent Scotia Capital (USA) Inc. (SCUSA) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-22

Summary

FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November and publishes a Final Statement in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2023.

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