2023 FINRA Firm Grouping Conference
FINRA’s Firm Grouping Conference is an in-person event designed to provide FINRA member firms the opportunity to engage in conversations on key topics tailored to each firm grouping. This conference also offers networking opportunities to meet with other professionals across firm segments and FINRA senior leadership including a significant presence of Member Supervision officers and senior directors.
2024 FINRA Annual Conference
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
20-03658(3).pdf
Order to Confirm
2020065125701 Arque Capital, Ltd CRD 121192 and Michael C. Ning CRD 1229733 AWC lp (2023-1686356402697).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065125701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Arque Capital, Ltd. (Respondent)
Member Firm
CRD No. 121192
Michael C. Ning (Respondent)
Operations Professional and General Securities Principal
CRD No. 1229733
Pursuant to FINRA Rule 9216, Respondents Arque Capital, Ltd. and Michael C. Ning submit
this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement
of the alleged rule violations described below.