Election Notice - 8/12/2024

Summary

FINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1

FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets

FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.

2024081404501 Vincent Mallon CRD 5039515 AWC gg (2024-1725236411818).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081404501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Mallon (Respondent) General Securities Representative CRD No. 5039515 Pursuant to FINRA Rule 9216, Respondent Vincent Mallon 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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