Kaplan FINRA Review - Briefs Due May to July

UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 105279 / April 21, 2026 Admin. Proc. File No. 3-22605 In the Matter of the Application of ADAM SCOTT KAPLAN and DAVID EVAN KAPLAN For Review of Action Taken by FINRA ORDER SCHEDULING BRIEFS Adam Scott Kaplan and Daniel Evan Kaplan filed an application under Section 19(d)(2) of the Securities Exchange Act of 1934 for review of action taken by FINRA. FINRA filed a 1 copy of the index to the record on March 31, 2026. 2 Accordingly, IT IS ORDERED that a brief in support of the application for review shall be filed by May 21, 2026. A brief in opposition shall be filed by June 22, 2026, and any reply 3 brief shall be filed by July 6, 2026. Failure to file a brief in support of the application may result in dismissal of this review proceeding. No briefs other than those specified in this schedule 4 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. Attention is further directed to the e-filing requirements in the 6 Rules of Practice. And we remind the parties that any document filed with the Commission 7 15 U.S.C. § 78s(d)(2). 1 See Rule of Practice 420(e); 17 C.F.R. § 201.420(e). 2 See Rule of Practice 450(a); 17 C.F.R. § 201.450(a). 3 See Rule of Practice 180(c); 17 C.F.R. § 201.180(c). 4 See Rule of Practice 450(a), 17 C.F.R. § 201.450(a). 5 See Rule of Practice 450(b) and (c), 17 C.F.R. § 201.450(b) and (c) (governing content 6 and length); see also Rule of Practice 152, 17 C.F.R. § 201.152 (governing form). See Rules of Practice 151, 152(a), 17 C.F.R. §§ 201.151, .152(a) (providing procedure for 7 filing papers with the Commission and mandating electronic filing in the form and manner

2 must also be served upon all participants in this proceeding and be accompanied by a certificate of service. 8 For the Commission, by the Office of the General Counsel, pursuant to delegated authority. Vanessa A. Countryman Secretary

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). See Rule of Practice 150, 17 C.F.R. § 201.150 (requiring parties generally to serve each 8 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.").