2023080253301 Imdadur Rahman CRD 2476187 AWC vr (2024-1720743611092).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080253301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Imdadur Rahman (Respondent)
General Securities Representative
CRD No. 2476187
Pursuant to FINRA Rule 9216, Respondent Imdadur Rahman submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018057929601 ACS Execution Services, LLC CRD 17972 AWC lp (2024-1720657217693).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057929601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: ACS Execution Services, LLC (Respondent)
Member Film
CRD No. 17972
Pursuant to FINRA Rule 9216, Respondent ACS Execution 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.
Amendments to FINRA Rule 4210: Covered Agency Transactions
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
23-00545(3).pdf
Motion to Vacate
2021072581301 TradeZero America Inc. CRD 282940 AWC lp (2024-1720657217344).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072581301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TradeZero America, Inc. (Respondent)
Member Firm
CRD No. 282940
Pursuant to FINRA Rule 9216, Respondent TradeZero America, Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.