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2022076567401 Paul Edwards CRD 5967107 AWC gg (2025-1736468404729).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2022076567401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Edwards (Respondent) Former General Securities Representative CRD No. 5967107 Pursuant to FINRA Rule 9216, Respondent Paul Edwards submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023078132201 Sharon Green CRD 1269522 AWC gg (2025-1736468403538).pdf

FlNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078132201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sharon Green (Respondent) General Securities Representative CRD No. 1269522 Pursuant to FINRA Rule 9216, Respondent Sharon Green submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Erik Sirri

24-01028.pdf

Expungement Award

23-00072.pdf

Award

Neville Golvala Comment On Regulatory Notice 24-13

Comments on Pattern Day Trader Requirements

A lot has changed since the day trading rule went into effect. Settlement is now one business day, commissions have gone to zero at many firms, volumes have exploded. All these factors are in favor of relaxing the day trading rule and eliminating some of its provisions.

Unlocking Transparency: Navigating FINRA’s Market Data Offerings

Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.