2022076141801 Rodney Michael Ferruso CRD 1457661 AWC vr (2023-1698279610521).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076141801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rodney Ferruso (Respondent) Former General Securities Representative CRD No. 1457661 Pursuant to FINRA Rule 9216, Respondent Rodney Ferruso submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-012

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary supplementary material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to include calendar year 2024.

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