Election Notice - 10/23/2023

Executive Summary

The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023, are eligible to vote in these elections.

2015044336601 BGC Financial, L.P. CRD No. 19801 AWC gg (2023-1700353201860).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015044336601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BGC Financial, L.P. (Respondent) Member Firm CRD No. 19801 Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079974701 Richard Leininger CRD 809473 AWC gg (2023-1700353207300).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079974701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Leininger (Respondent) General Securities Representative CRD No. 809473 Pursuant to FINRA Rule 9216, Respondent Richard Leininger 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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