Technical Notice

FINRA New Issue Submission Platform Training Videos

August 19, 2020

As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020.  The new platform will be available with the same log in credentials used to access the FINRA New Issue Form today.

FINRA has now included a training video to assist clients in the transition to the new platform.

2019061251501 Earl Quon CRD 3278125 AWC sl (2020-1600388368215).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061251501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Earl Quon, Respondent Former General Securities Representative and General Securities Sale Supervisor CRD No. 3278125 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Earl Quon (“Quon”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations
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