SR-FINRA-2020-023

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with an amendment to the CAT NMS Plan recently approved by the Commission.

2020065022401 Stanley B. Secor CRD 1982414 AWC sl (2020-1598660367356).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065022401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stanley B. Secor, Respondent Former Registered Representative CRD No. 1982414 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Stanley B. Secor 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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