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2023077575701 Kevin Elijah Davis CRD 1295560 AWC lp (2024-1717806008746).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077575701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Elijah Davis (Respondent) Former General Securities Representative CRD No. 1295560 Pursuant to FINRA Rule 9216, Respondent Kevin Elijah Davis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA T+1 Settlement User Acceptance Test (UAT)

2023080450801 Matthew T. Chen CRD 7135693 AWC vr (2024-1717806008298).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080450801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew T. Chen (Respondent) Former General Securities Representative CRD No. 7135693 Pursuant to FINRA Rule 9216, Respondent Matthew T. Chen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Date by which firms must submit the first RSL list to FINRA.

The first list will reflect all locations a firm designates as RSLs during the period June 1, 2024, through September 30, 2024.

Date by which firms previously relying on the Notice 20-08 Relief must file supplementary amendments to Form U4 and BR with FINRA in accordance with Article V, Section 2 or Article IV, Section 8 of the FINRA By-Laws.

The first day a firm may use the RSL designation.

Date on which firms previously relying on the Notice 20-08 Relief must comply with the timeframes specified in Article V, Section 2 or Article IV, Section 8 of the FINRA By-Laws.

Release of FINRA Gateway functionality for firms to identify their RSLs and meet the obligation to provide their quarterly RSL lists to FINRA in accordance with Rule 3110.19(d)

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24-00045.pdf

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