Information Notice 12/2/24

Summary

FINRA is making available on the FINRA website the Filing Schedule in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time throughout 2025, including holidays. This information will assist firms with making accurate submissions in connection with filing requests of extensions of time throughout the year, including prior to and after a holiday when the exchanges or banks are closed in 2025.

2018056490321 Christopher P. Gallo CRD 6045888 AWC vr.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490321 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher P. Gallo (Respondent) General Securities Representative CRD No. 6045888 Pursuant to FINRA Rule 9216, Respondent Christopher P. Gallo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021069460001 Independent Financial Group, LLC CRD 7717 AWC vr.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069460001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Independent Financial Group, LLC (Respondent) Member Firm CRD No. 7717 Pursuant to FINRA Rule 9216, Respondent Independent Financial Group, LLC (IFG) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024082013401 Ceondre Colvin CRD 7329753 AWC vr.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082013401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ceondre Colvin (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7329753 Pursuant to FINRA Rule 9216, Respondent Ceondre Colvin submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077032101 tastytrade, Inc. CRD 277027 AWC vr.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077032101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: tastytrade, Inc. (Respondent) Member Firm CRD No. 277027 Pursuant to FINRA Rule 9216, Respondent tastytrade, 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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