2016048837401 WILSON-DAVIS & CO., INC. CRD 3777 JAMES C. SNOW, JR. CRD 2761102 LYLE WESLEY DAVIS CRD 62352 BYRON BERT BARKLEY CRD 12469 CRAIG STANTON NORTON CRD 349405 Complaint jm (2019-1566433190365).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. DISCIPLINARY PROCEEDING NO. 2016048837401 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From late February 2015 through June 2015, Wilson-Davis & Co., Inc.

Election Notice – 8/20/19

Summary

The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies.

SR-FINRA-2019-017

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) to conform to the requirements of the Fair Access to Investment Research Act of 2017 (“FAIR Act”). The proposed rule change would eliminate the “quiet period” restrictions in Rule 2241 on publishing a research report or making a public appearance concerning a covered investment fund and would create a filing exclusion under FINRA Rule 2210 for covered investment fund research reports.
 

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