SR-FINRA-2023-004
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Research Analyst (Series 86/87) exam program, including a reduction of the number of scored questions on the Series 86 exam.
2018057732801 Fenix Securities, LLC CRD 159481 AWC va (2023-1680222012417).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057732801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Fenix Securities, LLC (Respondent)
Member Firm
CRD No. 159481
Pursuant to FINRA Rule 9216, Respondent Fenix Securities, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022074814601 Thomas M. O'Keefe CRD 7421625 AWC lp-1 (2023-1680222012430).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074814601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Thomas M. O’Keefe (Respondent)
Former Non-Registered Associated Person
CRD No. 7421625
Pursuant to FINRA Rule 9216, Respondent Thomas M. O’Keefe submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Regulatory Notice 23-03
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.
2023077489001 Tracy Lynn Morton CRD 4880691 AWC gg (2023-1680135615639).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023077489001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Tracy Lynn Morton (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 4880691
Pursuant to FINRA Rule 9216, Respondent Tracy Lynn Morton (Morton) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged
rule violations described below.