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Mike Ehr Comment On Regulatory Notice 22-14

I agree with this rule and think it should be in place to improve investor confidence in the markets

David Nelson Comment On Regulatory Notice 22-14

We the retail investor needs this passed, as it will help retail investors! We NEED more transparency.

Jimmy George Comment On Regulatory Notice 22-14

This rule brings transparency to OTC markets and I support this rule.

2019062183901 Wilson-Davis & Co., Inc. CRD 3777 AWC gg (2022-1660782016817).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062183901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wilson-Davis & Co., Inc. (Respondent) Member Firm CRD No. 3777 Pursuant to FINRA Rule 9216, Respondent Wilson-Davis & Co., Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Personal Finance

National Study by FINRA Foundation Finds More U.S. Households Struggling Financially Despite Stable Incomes

21-02832.pdf

22-00302.pdf

21-00550(4).pdf

21-00550(3).pdf

Election Notice – 7/20/22

Summary

FINRA will conduct its Annual Meeting of firms on Friday, August 19, 2022, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect an individual to fill one small firm seat on the FINRA Board of Governors (FINRA Board or Board).¹

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