FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
2006007105102 SunTrust Investment Services, Inc. CRD 17499 and Donald A. Mattran, Jr. CRD 2342760 AWC jlg (2021-1624580412409).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007105102
TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: SunTrust Investment Services, Inc.
(CRD No. 17499) and Donald A. Mattran, Jr. (CRD No. 2342760) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunTrust Investment Services, Inc. ("STIS" or "the firm") and Donald A. Mattran, Jr. ("Mattran") (collectively "Respondents")
submit this Letter of Acceptance, Waiver and
Options Reports
Large Options Positions Report (LOPR) – Listed and Large Options Positions Report (LOPR) – Over-the-Counter reports for firms.
Short Sale Volume
FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF), Alternative Display Facility (ADF) or Over the Counter Reporting Facility (ORF).