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SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2020, the certification period is April 20 - July 20, 2020.

2018056386601 Chapin, Davis CRD 28116 AWC va (2020-1588983571250).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056386601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chapin, Davis, Respondent Member Firm CRD No. 28116 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Chapin, Davis ("Chapin, Davis" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.