2023080450801 Matthew T. Chen CRD 7135693 AWC vr (2024-1717806008298).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080450801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Matthew T. Chen (Respondent)
Former General Securities Representative
CRD No. 7135693
Pursuant to FINRA Rule 9216, Respondent Matthew T. Chen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Date by which firms must submit the first RSL list to FINRA.
The first list will reflect all locations a firm designates as RSLs during the period June 1, 2024, through September 30, 2024.
The first day a firm may use the RSL designation.
Date on which firms previously relying on the Notice 20-08 Relief must comply with the timeframes specified in Article V, Section 2 or Article IV, Section 8 of the FINRA By-Laws.
End of Regulatory Notice 20-08 Relief
End of Regulatory Notice 20-08 Relief.