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SR-FINRA-2024-015Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Section 1 (General Information) of the Uniform Application for Securities Industry Registration or Transfer (“Form U4”) to add a new question eliciting information to identify locations as residential supervisory locations (“RSLs”); (2) amend FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) to remove the reference to a list of RSLs and the quarterly timeframe for member firms to provide the list to FINRA and replace it with the requirement that member firms provide current information identifying all locations designated as RSLs in the frequency, manner and format as FINRA may prescribe; and (3) make conforming changes to Section 6 (Registration Requests with Affiliated Firms) of the Form U4 and amend the Form U4 Instructions to account for the new question soliciting RSL information (“RSL Question”).
2020066079903 Jose L Centeno CRD 6368188 OHO Decisions df (2024-1728865198682).pdfFINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
JOSE L. CENTENO
(CRD No. 6368188),
Respondent.
Disciplinary Proceeding
No. 2020066079903
Hearing Officer–LOM
HEARING PANEL DECISION
August 28, 2024
In violation of FINRA Rule 2010, Respondent falsely marked his firm’s records to show that he had reviewed 383 exception reports for suspicious trading activity when he had not.
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