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Information Notice 3/17/26
Summary
Effective April 4, 2026, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $0.00 per million dollars in transactions to a new rate of $20.60 per million dollars in transactions.
Finance-related questions should be directed to:
25-01174.pdf
Expungement Award
24-02593(3).pdf
motion to vacate
2025083700301 Arcadia Securities LLC CRD 44656 AWC lp.pdf
Between October 2023 and February 2024, Arcadia conducted a securities business on
three days while failing to maintain the required minimum net capital. As a result, the
firm violated Section 15(c)(3) of the Securities Exchange Act of 1934, Exchange Act
Rule 15c3-1, and FINRA Rules 4110(b)(1) and 2010.
In addition, from October 2023 to March 2025, Arcadia failed to establish, maintain, and
enforce a supervisory system reasonably designed to achieve compliance with net capital
requirements, in violation of FINRA Rules 3110 and 2010.
For these violations, Arcadia is censured and fined $40,000.