2023079727601 Matthew Joseph Mathesen CRD 6781208 AWC lp (2024-1716684610153).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079727601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Matthew Joseph Mathesen (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 6781208
Pursuant to FINRA Rule 9216, Respondent Matthew Joseph Mathesen submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Information Notice 05/01/24
Summary
Effective May 22, 2024, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $8.00 per million dollars in transactions to a new rate of $27.80 per million dollars in transactions.
Finance-related questions should be directed to:
- Amanda Rath, Manager, Finance, at (240) 386-6637 or by email.
Legal and interpretive questions should be directed to:
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