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.
20-04176(2).pdf
motion to vacate
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.