Information Notice - 7/1/24

FINRA is issuing this Information Notice to remind members of the role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.

Please see the attached ISG CMRWG Regulatory Memorandum 2024-01 (“Notice”) that was issued by the Participants of the ISG CMRWG. Questions concerning this Notice should be directed to [email protected]. 

2024082541001 Jeffrey T. Higgins CRD 2871443 AWC lp (2024-1722471612610).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082541001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey T. Higgins (Respondent) Former General Securities Representative CRD No. 2871443 Pursuant to FINRA Rule 9216, Respondent Jeffrey T. Higgins submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2024081405001 Jeffrey Payne CRD 2160235 AWC lp (2024-1722471622099).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081405001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Payne (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2160235 Pursuant to FINRA Rule 9216, Respondent Jeffrey Payne submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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