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Technical Notice

FINRA New Issue Form System Live

September 28, 2020

FINRA New Issue Form Changes – Live Today

This is a reminder that beginning today, Monday, September 28, 2020, the updated FINRA New Issue Form is live. Users can access the new platform by going to https://newissue.finra.org or via the FINRA New Issue quick link in the FINRA Gateway and logging in with the same log in credentials used to access the retired FINRA New Issue Form. 

2019063601701 Alec C. Franks CRD 5797052 AWC va (2020-1603671568451).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063601701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alec C. Franks, Respondent General Securities Representative CRD No. 5797052 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Alec Franks submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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