FINRA Rules

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2019061427301 Lori Rood Thompson CRD 2416616 AWC va (2019-1571617198382).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061427301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lori Rood Thompson, Respondent General Securities Representative CRD No. 2416616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lori Rood Thompson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2018060817701 David C. Vanech CRD 5195259 AWC va (2019-1571617187320).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060817701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David C. Vanech, Respondent CRD No. 5195259 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David C. Vanech ("Vanech") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

6121. Trading Halts Due to Extraordinary Market Volatility

Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission.

SR-FINRA-2019-023

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).

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