The first day a firm may use the RSL designation.
Date on which firms previously relying on the Notice 20-08 Relief must comply with the timeframes specified in Article V, Section 2 or Article IV, Section 8 of the FINRA By-Laws.
End of Regulatory Notice 20-08 Relief
End of Regulatory Notice 20-08 Relief.
2022073298301 Mizuho Securities USA LLC CRD 19647 AWC gg.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073298301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Mizuho Securities USA LLC (Respondent)
Member Firm
CRD No. 19647
Pursuant to FINRA Rule 9216, Respondent Mizuho Securities USA LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.