BEGIN:VCALENDAR PRODID:-//Microsoft Corporation//Outlook 16.0 MIMEDIR//EN VERSION:2.0 METHOD:PUBLISH X-MS-OLK-FORCEINSPECTOROPEN:TRUE BEGIN:VEVENT CLASS:PUBLIC CREATED:20220824T191016Z DESCRIPTION:A mass transfer is used to systematically transfer individuals and branch office s from one firm to another firm as a result of a merger\, acquisition\, su ccession or consolidation. Nov. 30\, 2022\, is the last day firms will be able to request that a mass transfer occur this year. There will be a mora torium on mass transfer processing from Nov. 30\, 2022\, through Jan. 2\, 2023.\nLearn more: https://www.finra.org/renewal \n \nThis information is provided as a convenience to firms and may not be a complete listing of al l of a firm's regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regu latory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.\n \n \n DTEND;VALUE=DATE:20230103 DTSTAMP:20220819T151123Z DTSTART;VALUE=DATE:20221130 LAST-MODIFIED:20220824T191016Z PRIORITY:5 SEQUENCE:0 SUMMARY;LANGUAGE=en-us:Mass Transfer Moratorium TRANSP:TRANSPARENT UID:040000008200E00074C5B7101A82E0080000000080E10D4B70C9D701000000000000000 010000000178608AA439B7347BD65895DDDA2ECF5 X-ALT-DESC;FMTTYPE=text/html:

A mass transfer is used to systematically transfer individuals and branch offices from one firm to another firm as a result of a merger\, acquisition\, succession or \;consolidation. Nov. 30\, 2022\, is the last day firms will be able to request that a mass transfer occur this yea r. There will be a moratorium on mass transfer processing from Nov. 30\, 2 022\, through Jan. 2\, 2023.

Le arn more: https://www.finra.org/re newal

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This information is provided as a convenience to firms an d may not be a complete listing of all of a firm's regulatory and complian ce filing requirements. Firms must do their own due diligence to ensure th at they comply with all of their regulatory and filing requirements and th eir reliance on this report does not create a safe harbor from a firm's re gulatory responsibilities.

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