Regulatory Notice 20-02

Summary

FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.

Questions concerning this Notice should be directed to:

2018057629501 James R. Willing CRD 468560 AWC va (2020-1581121183153).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057629501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James R Willing, Respondent General Securities Representative CRD No. 468560 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Robert Willing 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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