From April 11, 2022 through January 19, 2023, Tradeweb violated MSRB Rule G-14 by failing to include the Non-Transaction-Based Compensation (NTBC) indicator when reporting 145,898 municipal securities transactions to the MSRB’s Real-Time Transaction Reporting System (RTRS). For this violation, Tradeweb is censured and fined $65,000.

It has been determined that the Offer be accepted and that findings be made as follows: SUMMARY Between December 2017 and December 2019, while he was associated with Raymond James Financial Services, Inc. (CRD No. 6694), Respondent Jonathan E. Best violated FINRA Rule 2010 by effecting 71 unauthorized trades in the account of a senior customer with diminished capacity (Customer A). In addition, Best violated FINRA Rule 2010 by submitting two false compliance attestations to Raymond James.

Between January 6, 2021, and January 5, 2023, King exercised discretion when he placed 204 trades without prior written authorization in the accounts of four customers. As a result, King violated FINRA Rules 3260(b) and 2010 and is suspended for 30 calendar days and fined $5,000.