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SR-FINRA-2025-003
Rule Filing Status: Approved
Rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $300 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters. The proposed rule change also would make a conforming change to the gift limit in Rules 2310, 2320, 2341, and 5110.
2025088109801 David N. Cohen CRD 5083883 AWC lp.pdf
Cohen refused to appear for on-the-record testimony requested by FINRA pursuant to
FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred
from associating with any FINRA member in all capacities.
2025088422001 Danish Rauf CRD 5006655 AWC lp.pdf
Rauf refused to produce information and documents requested by FINRA pursuant to FINRA Rule 8210. As a result, Rauf violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Intellivest Securities, Inc. Comment On Regulatory Notice 26-06
Please accept the following comments regarding Modernizing FINRA Arbitration