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SR-FINRA-2021-005

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 initially set forth in SR-FINRA-2020-026 and subsequently extended in SR-FINRA-2020-043 (collectively, the “Temporary Qualification Examination Relief Filings”) from April 30, 2021, to June 30, 2021.  FINRA does not anticipate providing any further extensions to the temporary amendments identified in this proposed rule change beyond June 30, 2021.

2020067118901 Jiacheng Zhou CRD 7043791 AWC DM (2021-1619742007352).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067118901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jiacheng Zhou, Respondent Former Investment Banking Representative CRD No. 7043791 Pursuant to FINRA Rule 9216, Respondent Jiacheng Zhou submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064465201 Colin Woolford CRD 6512956 AWC DM (2021-1619742007161).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064465201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colin Woolford (Respondent) Former General Securities Representative CRD No. 6512956 Pursuant to FINRA Rule 9216, Respondent Colin Woolford submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060741801 Gordon Bryan CRD 1292315 AWC DM (2021-1619742006808).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060741801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gordon Bryan General Securities Representative CRD No. 1292315 Pursuant to FINRA Rule 9216, Respondent Gordon Bryan 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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