UNITED STATES OF AMERICA

before the

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934

Release No. 99943 / April 11, 2024

Admin. Proc. File No. 3-21880

In the Matter of the Application of

ADAM STREGE

For Review of Action Taken by

FINRA

ORDER SCHEDULING BRIEFS

Adam Strege filed an application under Section 19(d)(2) of the Securities Exchange Act 

of 1934 for review of actions taken by FINRA on February 1 and March 7, 2024.

1

 FINRA filed 

a copy of the index to the record on March 21, 2024.

2

Accordingly, IT IS ORDERED that a brief in support of the application for review shall 

be filed by May 13, 2024.

3 A brief in opposition shall be filed by June 12, 2024, and any reply 

brief shall be filed by June 26, 2024. Failure to file a brief in support of the application may 

result in dismissal of this review proceeding.4 No briefs other than those specified in this 

schedule may be filed without leave of the Commission.5 

The parties’ attention is directed to the Commission’s Rules of Practice governing 

content and length limitations.

6

 Attention is further directed to the e-filing requirements in the 

1

15 U.S.C. § 78s(d)(2). 

2

See Rule of Practice 420(e); 17 C.F.R. § 201.420(e).

3

See Rule of Practice 450(a); 17 C.F.R. § 201.450(a).

4

See Rule of Practice 180(c); 17 C.F.R. § 201.180(c).

5

See Rule of Practice 450(a), 17 C.F.R. § 201.450(a).

6

See Rule of Practice 450(b) and (c), 17 C.F.R. § 201.450(b) and (c) (governing content 

and length); see also Rule of Practice 152, 17 C.F.R. § 201.152 (governing form).
2

Rules of Practice.

7

 And we remind the parties that any document filed with the Commission 

must also be served upon all participants in this proceeding and be accompanied by a certificate 

of service.8 

We also remind the parties to confine their briefs to the matters at issue in this appeal.9 

The Commission may disregard any filing that does not comply with the requirements described 

7

See Rules of Practice 151, 152(a), 17 C.F.R. §§ 201.151, .152(a) (providing procedure for 

filing papers with the Commission and mandating electronic filing in the form and manner 

posted on the Commission’s website); Instructions for Electronic Filing and Service of 

Documents in SEC Administrative Proceedings and Technical Specifications, 

https://www.sec.gov/efapdocs/instructions.pdf. Parties generally also must certify that they have 

redacted or omitted sensitive personal information from any filing. Rule of Practice 151(e), 

17 C.F.R. § 201.151(e).

8

See Rule of Practice 150, 17 C.F.R. § 201.150 (requiring parties generally to serve each 

other with their filings); Rule of Practice 151(d), 17 C.F.R. § 201.151(d) (“Papers filed with the 

Commission . . . shall be accompanied by a certificate stating the name of the person or persons 

served, the date of service, the method of service, and the mailing address or email address to 

which service was made, if not made in person.”). Strege should serve any filings on FINRA by 

emailing them to: Elizabeth.Sisul@finra.org and nac.casefilings@finra.org. Moreover, Strege

should include in any filing a certificate stating that he has emailed the filing to these two email 

addresses.

9

See Rule of Practice 450(b), 17 C.F.R. § 201.450(b) (“Briefs shall be confined to the 

particular matters at issue.”).
3

above or any other requirements of the Rules of Practice, including the requirements regarding 

the service, length, and quantity of filings.

10

For the Commission, by the Office of the General Counsel, pursuant to delegated 

authority.

Vanessa A. Countryman

Secretary

10 See Rule of Practice 180(b), 17 C.F.R. § 201.180(b) (“The Commission . . . may reject, in 

whole or in part, any filing that fails to comply with any requirements of these Rules of Practice 

or of any order issued in the proceeding in which the filing was made.”).