Government Shutdown Information

2022076156301 UBS Financial Services Inc. CRD 8174 AWC gg (2025-1738196398354).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076156301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. (UBS FSI) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 25-01

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. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after January 1, 2025.

2022073421503 Vincent LaBarbara, CRD 1108987 AWC gg (2025-1738196399239).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073421503 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent W. LaBarbara (Respondent) General Securities Representative CRD No. 1108987 Pursuant to FINRA Rule 9216, Respondent Vincent W. LaBarbara submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075315101 Interactive Brokers LLC, CRD 36418 AWC gg (2025-1738196398351).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075315101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers, LLC (Respondent) Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216, Respondent Interactive Brokers, LLC (Interactive) 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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