Regulatory Orders
Order 24002, Broker Dealer Agent Examination Requirements, Exam Validity Extension Program
Order 24004, Investment Advisor Representative Examination Validity Extension Program (IAR EVEP)
Enforcement Orders
In the matter of Dublin Finance Associates, LLC; Thomas W. Janes; Commonwealth Botanicals, LLC; and Dean D. Porter – Consent Order as to Respondents Dublin Finance Associates, LLC and Thomas W. Janes - (1/3/2024)
In the matter of Tradestation Crypto, Inc. – Consent Order (1/10/2024)