2020067041001 Arcview Capital, LLC CRD 306029 AWC gg (2024-1711844412488).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067041001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arcview Capital, LLC (Respondent) Member Firm CRD No. 306029 Pursuant to FINRA Rule 9216, Respondent Arcview Capital, LLC (Arcview) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2022-031

Rule Filing Status: Approved 

Rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) to require members to (i) publish order routing reports for orders in OTC Equity Securities, and (ii) submit their order routing reports for both OTC Equity Securities and NMS Securities to FINRA for publication on the FINRA website.

2022074074801 Lucas Mroz CRD 5725399 AWC gg (2024-1711671608116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074074801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucas Mroz (Respondent) General Securities Representative CRD No. 5725399 Pursuant to FINRA Rule 9216, Respondent Lucas Mroz 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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