2020067795501 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC gg (2024-1722558010213).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067795501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063914601 RBC Capital Markets, LLC CRD 31194 AWC gg (2024-1722558009697).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063914601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRDNo. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Information Notice - 7/1/24

FINRA is issuing this Information Notice to remind members of the role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.

Please see the attached ISG CMRWG Regulatory Memorandum 2024-01 (“Notice”) that was issued by the Participants of the ISG CMRWG. Questions concerning this Notice should be directed to [email protected]. 

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