New York Region Member Forum
The FINRA New York Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.
Regulatory Notice 19-34
Summary
In April 2018, FINRA launched a retrospective review of the annual compliance meeting (ACM) requirement in Rule 3110(a)(7) and corresponding Supplementary Material .04 (SM .04), to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant and appropriately designed to achieve their regulatory objectives, particularly in light of industry, market, and technology changes.
2018057815601 Elton Norman CRD 6402086 AWC jm (2019-1573949996312).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057815601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elton Norman, Respondent General Securities Representative CRD No. 6402086 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elton Norman submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations