2021071205501 Nickolay V. Kukekov CRD 4981423 AWC gg (2022-1667002806212).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071205501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nickolay V. Kukekov (Respondent) Former General Securities Representative CRD No. 4981423 Pursuant to FINRA Rule 9216, Respondent Nickolay V. Kukekov 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-2022-027

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) to make the current clearly erroneous pilot program permanent and limit the circumstances under which clearly erroneous review would be available.

SR-FINRA-2022-027

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 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) to make the current clearly erroneous pilot program permanent and limit the circumstances under which clearly erroneous review would be available.

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