FINRA Registration Systems Foundation Training
This virtual training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and related systems. Training is held over two half-days. There are two sessions available: June 29 and 30, 2022 and July 13 and 14, 2022.
FINRA Registration Systems Foundation Training
This virtual training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and related systems. Training is held over two half-days. There are two sessions available: June 29 and 30, 2022 and July 13 and 14, 2022.
2020068535401 Merrill Lynch, Pierce, Fenner Smith Incorporated CRD 7691 AWC va (2022-1656807620763).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068535401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent)
Member Firm
CRD No. 7691
Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated
submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a
settlement of the alleged rule violations described below.
Vincent Mesce Comment On Regulatory Notice 22-08
restricting the buying of Crypto ETF funds would seriously [REDACTED] investors cash flow & not would be a major violation of the Fair trade act