2022074541501 Kimberly Ann Carson CRD 5576304 AWC gg (2024-1708733994266).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074541501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberly Ann Carson (Respondent) Former General Securities Representative CRD No. 5576304 Pursuant to FINRA Rule 9216, Respondent Kimberly Ann Carson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072127401 M1 Finance LLC CRD 281242 AWC geg (2024-1708733994119).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072127401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: M1 Finance LLC (Respondent) Member Firm CRD No. 281242 Pursuant to FINRA Rule 9216, Respondent M1 Finance LLC 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-2023-007

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year remote inspections pilot program to allow member firms to elect to fulfill their obligation under paragraph (1) to Rule 3110(c) (Internal Inspections) by conducting inspections of some or all branch offices and locations remotely without an on-site visit to such office or location, subject to specified terms.

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