Regulatory Notice 24-14

Summary

FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and publishes a Final Statement in January to confirm or reconcile the actual renewal fees BD and IA firms owe after January 1, 2025.

2021072533901 Ivanhoe Vincent Ffriend CRD 1013083 AWC lp (2024-1731543599721).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021072533901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ivanhoe Vincent Ffriend (Respondent) General Securities Representative CRDNo. 1013083 Pursuant to FINRA Rule 9216, Respondent Ivanhoe Vincent Ffriend submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

TPCP

Tax Planning Certified Professional (TPCP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The American College of Financial Services
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • a high school diploma or equivalent and
  • three years of experience in the financial services industry.
Designation Training Requirements

Three online, self-study courses
Designation Exam Type

Closed-book, proctored final course exams
Continuing Education Requirements
  • Client-facing designees: 30 credit hours of CE every two years, including one hour of ethics CE
  • Non-client-facing designees: one hour of ethics CE every two years
Verification and Complaints
Online Designation Resource

Online at YourAdvisorGuide.com
Investor Complaint Process

Submit complaints via [email protected].
Published List of Disciplined Designees

None

2022076795001 George Snyder IV CRD 4276539 AWC lp (2024-1731284399740).pdf

FINRA REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT N0. 2022076795001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: George Snyder IV (Respondent) Former General Securities Representative CRD No. 4276539 Pursuant to FINRA Rule 9216, Respondent George Snyder IV submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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