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Regulatory Notice 21-02

Summary

FINRA has modified its Trade Reporting and Compliance Engine (TRACE) dissemination protocols applicable to agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions.1 The amendment will become effective on May 17, 2021.

Questions regarding this Notice should be directed to:

2019060656601 Cantone Research Inc. CRD 26314 AWC va (2021-1614817203516).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060656601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantone Research Inc. (Respondent) Member Firm CRD No. 26314 Pursuant to FINRA Rule 9216, Respondent Cantone Research Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060203701 James Daniel Kent, Jr. CRD 2255753 AWC jlg (2021-1614817203418).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060203701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Daniel Kent, Jr. (Respondent) General Securities Representative (GS) Investment Company and Variable Contracts Products Representative (IR) CRD No. 2255753 Pursuant to FINRA Rule 9216, Respondent James Daniel Kent, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2014043783101 Citigroup Global Markets Inc. CRD 7059 AWC jlg (2021-1614817203599).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014043783101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059035702 Christopher R. McMorrow CRD 4713155 AWC jlg (2021-1614817203702).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059035702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher R. McMorrow (Respondent) Former Investment Company Products/Variable Contracts Products Representative CRD No. 4713155 Pursuant to FINRA Rule 9216, Respondent Christopher R. McMorrow 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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