Information Notice - 3/15/23

Summary

FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity to participate in the Maintaining Qualifications Program (MQP). This new enrollment period begins March 15, 2023, and will end on December 31, 2023.

Questions concerning this Information Notice should be directed to:

Report From FINRA Board of Governors Meeting – March 2023

Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies

WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety of regulatory topics and technology initiatives.

Regulatory Notice 23-04

Summary

FINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).

Questions concerning this Notice should be directed to your firm’s Risk Monitoring Analyst.

Background

The following is guidance for member firms affected by the recent failures of SVB and Signature.

For Members with Deposits at SVB and Signature:

2020065620601 Maria Acevez Perez CRD 2981386 AWC_geg (2023-1681431611450).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065620601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maria Acevez Perez (Respondent) General Securities Representative CRD No. 2981386 Pursuant to FINRA Rule 9216, Respondent Maria Acevez Perez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to