Election Notice - 12/30/2024

Summary

FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional Committees and NAC.

Additionally, as discussed below, FINRA will soon hold an election to fill one small firm seat and one large firm seat on the NAC.

2024081397401 Ronald Cellini CRD 1164613 AWC lp (2025-1737678002391).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081397401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald Cellini (Respondent) Investment Company and Variable Contracts Products Representative CRDNo. 1164613 Pursuant to FINRA Rule 9216, Respondent Ronald Cellini submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077030601 Builder Advisor Group CRD 156515 AWC lmp (2025-1737678002361).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077030601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Builder Advisor Group, LLC (Respondent) Member Firm CRD No. 156515 Pursuant to FINRA Rule 9216, Respondent Builder Advisor Group, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Larry Shephard Comment On Regulatory Notice 24-13

The rules of Finra need to be changed. They may have been created to help reduce the predatory practices of unscrupulous brokers and protect individuals from such practices, and there may be a need to protect individuals from themselves, but we each bear the responsibility of knowing what we are doing at any given time. I have traded stocks, options, futures and forex. It is a lifelong process, and I currently trade stocks, options, and futures. Since Finra only governs stocks and options I will relate only those concerns.


Information Notice - 12/24/24

Summary

Effective January 1, 2025, the Prospective CAT Cost Recovery Fee 2024-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and the Prospective CAT Cost Recovery Fee 2025-1 will be in effect.

Questions regarding this Notice may be directed to: 

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