Compliance Outreach Program

The 2024 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free live-streamed and in-person program designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.

2023079877001 Bert K. Takita Jr. CRD 5852632 AWC vr (2024-1729297204000).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079877001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bert K. Takita Jr. (Respondent) Former General Securities Representative CRD No. 5852632 Pursuant to FINRA Rule 9216, Respondent Bert K. Takita Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077658401 Wedbush Securities, Inc. CRD 877 AWC lp (2024-1729297204013).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077658401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities Inc. (Respondent) Member Firm CRD No. 877 Pursuant to FINRA Rule 9216, Respondent Wedbush Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077924101 TradeUP Securities, Inc. CRD 18483 AWC lp (2024-1729297204012).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077924101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeUP Securities, Inc. (Respondent) Member Firm CRD No. 18483 Pursuant to FINRA Rule 9216, Respondent TradeUP Securities, Inc. 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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