CrowdCheck, Inc. Comment On Regulatory Notice 23-09

1423 Leslie Avenue Alexandria, VA 22301 August 7, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington DC 20006-1506 RE: Rule 5110 and Regulatory Notice 23-09 Dear Ms. Mitchell: Thank you for the opportunity to comment on FINRA rules impacting capital formation. CrowdCheck, together with its affiliated law firm, CrowdCheck Law, was formed for the express purpose of serving small and early-stage companies relying on various exemptions from registration available under the Securities Act of 1933.

2019061293401 OCP Capital, LLC CRD 143381 AWC lmp (2023-1694046005889).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061293401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: OCP Capital, LLC (Respondent) Member Firm CRD No. 143381 Pursuant to FINRA Rule 9216, Respondent OCP Capital, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078163901 Lickhai Quach CRD 2804704 AWC vr (2023-1694046005885).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078163901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lickhai Quach (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2804704 Pursuant to FINRA Rule 9216, Respondent Lickhai Quach 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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