2023078203401 James H. MacKellar CRD 803007 AWC gg (2024-1717201201606).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078203401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James H. MacKellar (Respondent) Former Direct Participation Programs Representative, Investment Company and Variable Contracts Products Principal, and Investment Company and Variable Contracts Products Representative CRD No. 803007 Pursuant to FINRA Rule 9216, Respondent James H.

SR-FINRA-2024-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)).
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