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.

2021072581301 TradeZero America Inc. CRD 282940 AWC lp (2024-1720657217344).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072581301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeZero America, Inc. (Respondent) Member Firm CRD No. 282940 Pursuant to FINRA Rule 9216, Respondent TradeZero America, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to