2017052215402 Michael Rubel CRD 4935564 AWC va (2020-1601597969058).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052215402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Rubel, Respondent General Securities Representative CRD No. 4935564 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Rubel 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-2020-027

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application Program decisions, disciplinary actions, eligibility proceedings and temporary and permanent cease and desist orders by video conference, if warranted by the current COVID-19-related public health risks posed by an in-person hearing.

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