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Special Notice – 4/28/21
Summary
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
19-03250(1).pdf
Motion to Vacate
2020065709801 Cynthia Kay Whitman CRD 5688967 AWC va (2021-1622074804225).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065709801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Kay Whitman (Respondent) General Securities Representative CRD No. 5688967 Pursuant to FINRA Rule 9216, Respondent Cynthia Kay Whitman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019064935601 Sun Hyung Kim CRD 2053243 AWC va (2021-1622074803963).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064935601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sun Hyung Kim (Respondent) General Securities Representative CRD No. 2548242 Pursuant to FINRA Rule 9216, Respondent Sun Hyung Kim (Kim) 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-2021-008
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).