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2019061989601 Walter Osvaldo Vazquez CRD 4485011 AWC va (2020-1604189971958).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061989601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Walter Osvaldo Vazquez, Respondent Registered Representative CRD No. 4485011 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Walter Osvaldo Vazquez submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice
FINRA Updates the OTCBB/OTC Equities High Price Dissemination List
October 02, 2020

FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 2, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 1, 2020 as the “Start” date and October 2, 2020 as the “End” date.

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Form U4 and CE Webinar

Learn more about how FINRA will implement the changes described in the 6/25/20 Information Notice. We will discuss the impact these changes will have on how firms create and submit Form U4, as well as how individual representatives will use the FinPro system to access CE and collaborate with their firm on Form U4 filings.

HENRI LALANNE Comment On Regulatory Notice 20-29

I think pennying is really a bad behaviour, that is similar to "front-runnning". I think it is important to find a protocol that reduces that behaviour... I don't have the solution, but may be in case a dealer wants to show his own bid , he has to give the 1st bidder (may be also the 2nd best) another look. Thank you for bringing the subject. Kind regards.

Small Firm Virtual Conference

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20-00910.pdf

2019062377901 Kevin Shiuan-Yee Liu CRD 6593452 AWC va (2020-1604103570187).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062377901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Shiuan-Yee Liu, Respondent Former Investment Banking Representative CRD No. 6593452 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kevin Shiuan-Yee Liu submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059643701 Robert Barnard CRD 5504882 AWC va (2020-1604103570314).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059643701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Barnard, Former Registered Representative CRD No. 5504882 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Barnard 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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