2020067139101 Instinet, LLC, CRD 7897 AWC gg (2023-1694823602369).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067139101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Instinet, LLC (Respondent) Member Firm CRD No. 7897 Pursuant to FINRA Rule 9216, Respondent Instinet, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068197401 Goldman Sachs & Co. LLC CRD 361 AWC gg (2023-1694823602356).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068197401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 23-13

Summary

FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.

Questions concerning this Notice should be directed to:

2021069368801 CoreCap Investments, LLC CRD 37068 AWC gg (2023-1694737208009).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069368801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CoreCap Investments, LLC (Respondent) Member Firm CRD No. 37068 Pursuant to FINRA Rule 9216, Respondent Corecap Investments, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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