Regulatory Notice 24-15

Summary

FINRA has amended Rule 13606 of the Code of Arbitration Procedure for Industry Disputes to provide that the Director of FINRA Dispute Resolution Services will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing, or who provide their position on the expungement request in writing.

Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub

In 2022, FINRA developed an enterprise-wide strategy to ensure preparation for an evolving crypto asset regulatory landscape with the creation of the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, which originally aired in August 2023, we learn more about the strategy and the role of the Hub.

2023078269701 Peter Joseph Glowacki CRD 1156214 AWC gg (2024-1734826798466).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.
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