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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065178201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BNA Wealth, Inc. (Respondent) Member Firm CRD No. 39326 Pursuant to FINRA Rule 9216, Respondent BNA Wealth, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative

FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On this episode, we hear what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074194701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jong Ik Lee (Respondent) Former Investment Banking Representative CRD No. 7153846 Pursuant to FINRA Rule 9216, Respondent Jong Ik Lee submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062435601 UBS Securities, LLC. CRD 7654 AWC lp (2023-1678061998188).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062435601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Securities LLC (Respondent) Member Firm CRD No. 7654 Pursuant to FINRA Rule 9216, Respondent UBS Securities LLC 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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