Technical Notice

FINRA Updates FINRA Transparency Services Uniform Executing Broker Agreement

September 04, 2020

FINRA has updated the FINRA Transparency Services Uniform Executing Broker Agreement, which allows a member firm to report trades on behalf of another member firm to a FINRA facility.

The Agreement has been renamed the “FINRA Transparency Services Uniform Reporting Agreement” and updated to define the FINRA member authorized to report on behalf on another member as the “Reporting Participant” (previously defined as the “Executing Broker”), in addition to other non-substantive edits.

2017053653101 Citadel Securities LLC CRD 116797 AWC va (2020-1601770771209).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053653101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citadel Securities LLC (the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2020065477101 Peter Vincent Ianace CRD 3238078 AWC va (2020-1601770770779).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065477101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peter Vincent Ianace, Respondent General Securities Representative CRD No. 3238078 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Peter Vincent Ianace submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062369701 Christina Jane Shepard CRD 3025892 AWC va (2020-1601770770819).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062369701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christina Jane Shepard, Respondent General Securities Representative CRD No. 3025892 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christina Jane Shepard submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062369702 Kimberley Schkade-Hill CRD 4550820 AWC va (2020-1601770770512).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062369702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberley Schkade-Hill, Respondent Investment Company and Variable Representative CRD No. 4550820 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kimberley Schkade-Hill submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016048614401 State Street Global Markets, LLC CRD 285852 AWC sl (2020-1601770770971).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048614401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: State Street Global Markets, LLC, Respondent Member Firm CRD No. 2858521 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent State Street Global Markets, LLC (CRD No. 285852) 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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