2021071850602 Jacob Harrison Leddy CRD 6073108 AWC gg (2023-1686270012433).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071850602
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jacob Harrison Leddy (Respondent)
General Securities Representative
CRD No. 6073108
Pursuant to FINRA Rule 9216, Respondent Jacob Harrison Leddy submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Regulatory Notice 23-09
Summary
An efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the benefit of all market participants, including investors and issuers.
Regulatory Notice 23-08
Summary
In this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)).
2021071288701 Michael R. Neill CRD 4700490 AWC vr (2023-1686270012739).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071288701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael R. Neill (Respondent)
General Securities Representative
CRD No. 4700490
Pursuant to FINRA Rule 9216, Respondent Michael R. Neill submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
FINRA and NFA Discuss Crypto Assets at Special Summit
WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understanding (MOU) to address crypto activities that fall within their respective regulatory mandates.