SR-FINRA-2020-026

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt: (1) temporary Supplementary Material .12 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) under FINRA Rule 1210 (Registration Requirements); and (2) temporary Supplementary Material .07 (Temporary Extension of the Limited Period for Persons to Function as Operations Professionals) under FINRA Rule 1220 (Registration Categories).

2018059766702 Rani Soto CRD 6016117 Complaint sl (2020-1601252369177).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Rani Soto CRD No. 6016117, Respondent. Disciplinary Proceeding No. 201859766792 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 through September 2018, Rani Soto failed to disclosure five outside business activities (OBAs) to his member firm, Prudential Investment Management Services LLC (Prudential), prior to engaging in the OBAs. 2. By failing to disclose these OBAs to his firm

2015045713304 Wells Fargo Advisors, LLC nka Wells Fargo Clearing Services, LLC CRD 19616 AWC jlg (2020-1601252369953).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045713304 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Advisors, LLC (n/k/a Wells Fargo Clearing Services, LLC), Respondent Member Firm CRD No. 19616 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Wells Fargo Advisors, LLC (n/k/a Wells Fargo Clearing Services, LLC) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 20-31

Summary

FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110).

Election Notice – 9/1/20

Summary 

The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and rule changes.

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