2022076450301 Ashley Fenderson CRD 7013767 AWC gg (2023-1693527612640).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076450301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ashley Fenderson (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7013767 Pursuant to FINRA Rule 9216, Respondent Ashley Fenderson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Eric Bergstrom Comment On Regulatory Notice 23-09

In response to request for comment: Current, licensing requirements for real estate capital transactions (e.g., private debt and equity placements, M&A, and Sales) are too numerous (e.g., SIE, S63, S22, S79, and S82), overlapping, time consuming, and do very little to protect investors (Accredited Investors and Institutions). This is further compounded by additional licensing requirements from each state (e.g., real estate broker license).

Subscribe to