TRF Regulation SHO - 2020

Pursuant to a U.S. Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files; and (2) Monthly Short Sale Transaction Files (collectively, the Short Sale Files).

2017056688202 Daniel J. Arcuri, Jr. CRD 2200431 OHO Decision sl (2020-1583972369578).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL J. ARCURI, JR. (CRD No. 2200431), Respondent. Disciplinary Proceeding No. 2017056688202 Hearing Officer-DW DEFAULT DECISION February 7, 2020 For twice failing to appear and provide on-the-record testimony during an investigation as required by FINRA Rule 8210, Respondent is barred from associating with any FINRA member in any capacity. Appearances For the Complainant: Elson Ho, Esq., Eric Hansen, Esq., and Richard Chin, Esq., Department

Technical Notice

FINRA to Publish Weekly Aggregated Reports and Statistics for U.S. Treasury Securities Effective Date: March 10, 2020

February 10, 2020

Trade Reporting and Compliance Engine (TRACE)

Background

On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting Tuesday March 10, the new TRACE data aggregates will be published on FINRA’s website (www.finra.org).

SR-FINRA-2020-005

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to apply minimum fees to requests for expungement of customer dispute information.

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