2021072262901 Brian Harold Young CRD 4725953 AWC va (2022-1661473224860).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072262901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Harold Young (Respondent) Former General Securities Representative CRD No. 4725953 Pursuant to FINRA Rule 9216, Respondent Brian Harold Young 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-2022-009

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.

Jimmy James Comment On Regulatory Notice 22-14

I am a retail investor. I believe OTC options trades are a great systemic risk as they are not properly regulated. As FINRA is an SRO I believe it should be required that all OTC options chains be publicly disseminated in order for regulatory integrity and public trust to be maintained. In order to maintain competitiveness and not price smaller firms out of the market, FINRA should create a system of standards by which all forms can submit OTC options trades daily and seamlessly, without incurring heavy costs.

Financial Capability Study: Financial Wellbeing During a Global Pandemic

The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americans are benefiting equally from improvements in financial wellbeing, according to the new FINRA Foundation Financial Capability Study. On this episode we delve into the latest results of this nationwide, triennial study.
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