SR-FINRA-2020-020

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer).

2016047624303 Michael N Catoggio CRD 2402269 AWC sl (2020-1595549967231).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047624303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael N. Catoggio, Respondent Former General Securities and Registered Options Principal, General Securities and Municipal Securities Representative, and Operations Professional CRD No. 2402269 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael N. Catoggio submits this Letter of Acceptance, Waiver and Consent (AWC)

SR-FINRA-2020-019

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to adopt temporary Supplementary Material .16 (Temporary Extension of Time to Complete Office Inspections) under FINRA Rule 3110 (Supervision) that, in light of the operational challenges member firms are facing due to the outbreak of the coronavirus disease (COVID-19), would extend the time by which member firms must complete their calendar year 2020 inspection obligations under Rule 3110(c) (Internal Inspections) to March 31, 2021.

SR-FINRA-2020-018

Rule Filing Status:  Filed for Immediate Effectiveness

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 certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.

Subscribe to