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2021073533701 Shane Nowosacki CRD 5064451 AWC vr (2023-1693786807160).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073533701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shane Nowosacki (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 5064451 Pursuant to FINRA Rule 9216, Respondent Shane Nowosacki submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

22-01567.pdf

23-00057.pdf

22-01565(3).pdf

motion to vacate

23-00612.pdf

Registration Disclosure In-Person Boot Camp

This bootcamp in New York, NY includes two days of comprehensive training on disclosure reporting topics, including determining reportability and responding to FINRA disclosure letters. It’s scheduled the day after the Registration Systems Foundation In-Person Training in New York.

Registration Disclosure In-Person Boot Camp

This bootcamp in Columbus, OH includes two days of comprehensive training on disclosure reporting topics, including determining reportability and responding to FINRA disclosure letters. It’s scheduled the day after the Registration Systems Foundation In-Person Training in Columbus.

Registration Systems Foundation In-Person Training

This one-day training in Columbus, OH is for firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms. A Disclosure Reporting Boot Camp will also be offered in Columbus Oct. 18 – 19.

Registration Systems Foundation In-Person Training

This one-day training in New York, NY is for firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms. A Disclosure Reporting Boot Camp will also be offered in New York Sept. 20 – 21.

Election Notice - 8/7/2023

Summary

FINRA will conduct its Annual Meeting of firms on Wednesday, September 6, 2023, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).¹

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