FINRA’s Special Investigations Unit
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2021072670901 David Shane Simmons CRD 4655479 AWC va (2023-1681518008170).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072670901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: David Shane Simmons (Respondent)
Former Registered Representative
CRD No. 4655479
Pursuant to FINRA Rule 9216, Respondent David Shane Simmons submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
SR-FINRA-2023-005
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 1240.01 to provide eligible individuals another opportunity to elect to participate in the Maintaining Qualifications Program.
SR-FINRA-2023-005
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of this Rule) to provide eligible individuals another opportunity to elect to participate in the Maintaining Qualifications Program (“MQP”).
22-00678(1).pdf
Amended