2023078269701 Peter Joseph Glowacki CRD 1156214 AWC gg.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078269701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peter Joseph Glowacki (Respondent) Former General Securities Representative CRD No. 1156214 Pursuant to FINRA Rule 9216, Respondent Peter Joseph Glowacki submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-020

Financial Industry Regulatory Authority, Inc. (“FINRA”) is, consistent with SEA Rule 10c-1a, filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new FINRA Rule 7720 (Securities Lending and Transparency Engine (SLATE™)) to establish securities loan reporting fees and securities loan data products with associated fees in connection with FINRA’s separately proposed Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)) establishing securities loan reporting and data dissemination requirements.

2023077003601 National Financial Services, LLC 2023077003601.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077003601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: National Financial Services LLC (Respondent) Member Firm CRD No. 13041 Pursuant to FINRA Rule 9216, Respondent National Financial Services 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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