Regulatory Notice 24-14
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and publishes a Final Statement in January to confirm or reconcile the actual renewal fees BD and IA firms owe after January 1, 2025.
2021072533901 Ivanhoe Vincent Ffriend CRD 1013083 AWC lp (2024-1731543599721).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2021072533901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ivanhoe Vincent Ffriend (Respondent)
General Securities Representative
CRDNo. 1013083
Pursuant to FINRA Rule 9216, Respondent Ivanhoe Vincent Ffriend submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged
rule violations described below.
TPCP
Tax Planning Certified Professional (TPCP)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | The American College of Financial Services |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must have:
|
| Designation Training Requirements | Three online, self-study courses |
| Designation Exam Type | Closed-book, proctored final course exams |
| Continuing Education Requirements |
|
| Verification and Complaints | |
| Online Designation Resource | Online at YourAdvisorGuide.com |
| Investor Complaint Process | Submit complaints via [email protected]. |
| Published List of Disciplined Designees | None |
Election Notice - 10/18/2024
The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.