SR-FINRA-2020-024

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are effectively reporting to the consolidated audit trail (“CAT”) and the CAT’s accuracy and reliability meet certain standards.

2019063293701 Michael Edward Feeley CRD 4439025 AWC sl (2020-1599783569692).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063293701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Edward Feeley, Respondent Former Registered Representative CRD No. 4439025 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael Edward Feeley (Feeley) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

2018060262801 Barry Hallman CRD 6618538 AWC sl (2020-1599783569822).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060262801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Hallman, Respondent Former Non-Registered Associated Person CRD No. 6618538 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barry Hallman (“Hallman”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059950301 Christopher Reid CRD 2341418 AWC sl (2020-1599783569598).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059950301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Reid, Respondent Former Registered Representative CRD No. 2341418 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christopher Reid submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

Weekend Testing Opportunity – Members Exchange – August 15, 2020

August 11, 2020

Members Exchange (“MEMX”) is providing a testing opportunity this weekend in preparation for their September launch.  Firms participating in the August 15, 2020 test may send OATS data related to those orders to the OATS Certification Testing environment before the following Monday's OATS reporting deadline. OATS will then attempt to match to the MEMX test data. Matching statistics for the weekend test will be provided to firms upon request and will not be published to OATS CT Website.

2015047770301 Interactive Brokers LLC CRD 36418 AWC sl (2020-1599697173024).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047770301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC, Respondent Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Interactive Brokers LLC (“Interactive Brokers” or 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.
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