2021072487002 Crews & Associates, Inc. CRD 8052 AWC lp (2023-1686874806601).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072487002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Crews & Associates, Inc. (Respondent) Member Firm CRD No. 8052 Pursuant to FINRA Rule 9216, Respondent Crews & Associates, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072487001 Rush F. Harding III CRD 501131 AWC lp (2023-1686874806613).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072487001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rush F. Harding III (Respondent) Former General Securities Representative, Former General Securities Principal and Former Municipal Securities Principal CRD No.501131 Pursuant to FINRA Rule 9216, Respondent Rush F. Harding III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

(k)RS

401(k) Rollover Specialist ((k)RS)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization National Association of Plan Advisors (NAPA)
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Optional online, interactive self-study course
Designation Exam Type

Proctored, closed-book exam
Continuing Education Requirements

10 hours annually
Verification and Complaints
Online Designation Resource

Online at http://napacredentialcheck.org/.
Investor Complaint Process

Submit complaints via email to [email protected]. Learn more at Complaints and Discipline.
Published List of Disciplined Designees

None

Enforcement and Economics: Driving Better Case Outcomes Through Collaboration

Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have. On this episode, we hear how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes.
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