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Regulatory Notice 22-08

The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks. Like complex products, trading in options may pose risks if investors do not have the financial experience to understand options and options trading strategies.

SR-FINRA-2022-004

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from March 31, 2022, to July 31, 2022. 

CTA

Certified Tax Advisor (CTA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The Financial Education Partnership
Qualification and Training Requirements
Prerequisites

Candidates must have five years experience in the tax industry and be in good standing with all regulatory bodies.
Designation Training Requirements

Training course (18 hours)
Designation Exam Type

Written exam
Continuing Education Requirements

12 hours every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

2020068936501 Jazmin Gabriela Carpenter CRD 2696872 AWC sl (2022-1649290818764).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068936501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jazmin Gabriela Carpenter (Respondent) General Securities Representative CRD No. 2696872 Pursuant to FINRA Rule 9216, Respondent Jazmin Gabriela Carpenter submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019060753502 Jason A. Wilk CRD 6072438 OHO Decision sl (2022-1649290819094).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON A. WILK (CRD No. 6072438), Respondent. Disciplinary Proceeding No. 2019060753502 Hearing Officer—BEK DEFAULT DECISION March 3, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide testimony during an investigation. Appearances For the Complainant: David Monachino, Esq., Michael Dorfman-Gonzalez, Esq.,
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