Election Notice - 06/14/2024

Summary

The annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.

2023080253301 Imdadur Rahman CRD 2476187 AWC vr (2024-1720743611092).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080253301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Imdadur Rahman (Respondent) General Securities Representative CRD No. 2476187 Pursuant to FINRA Rule 9216, Respondent Imdadur Rahman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057929601 ACS Execution Services, LLC CRD 17972 AWC lp (2024-1720657217693).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057929601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ACS Execution Services, LLC (Respondent) Member Film CRD No. 17972 Pursuant to FINRA Rule 9216, Respondent ACS Execution Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Amendments to FINRA Rule 4210: Covered Agency Transactions

In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
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