Regulatory Notice 20-05

Summary

FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional formats, publicize the learning topics in advance and enhance the related management systems; (2) Firm Element to expressly recognize other training requirements, improv

2020065196802 David Francis Dalton CRD 60216 AWC jlg (2020-1584317970108).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065196802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Francis Dalton, Respondent General Securities Representative CRD No. 60216 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Francis Dalton ("Respondent" or "Dalton") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059598101 Angela Marie Chatfield CRD 6597761 AWC va (2020-1584317969804).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059598101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Angela Marie Chatfield, Respondent General Securities Representative CRD No. 6597761 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Angela Marie Chatfield ("Chatfield" or "Respondent") 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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