Technical Notice

FINRA Updates the OTCBB/OTC Equities High Price Dissemination List

April 03, 2020

FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the fourth quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 3, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 2, 2020 as the “Start” date and April 3, 2020 as the “End” date.

2019061490801 Barry Robert Bode CRD 1203578 AWC va (2020-1588465168945).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061490801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Robert Bode, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1203578 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barry Robert Bode ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2019063530501 Lazaros Coss CRD 6476885 AWC sl (2020-1588465169658).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063530501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lazaros Coss, Respondent Investment Company and Variable Contracts Product Representative CRD No. 6476885 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Lazaros Coss (“Coss”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018058026701 Alexander Jon James CRD 5630825 AWC sl (2020-1588465169035).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058026701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Jon James, Respondent Former Registered Representative CRD No. 5630825 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alexander Jon James submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-010

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to provide members with additional time to comply with the amendments adopted by SR-FINRA-2019-014 related to transactions in U.S. Treasury Securities executed to hedge certain primary market transactions.

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