Technical Notice

U.S. Treasury Securities Executed to Hedge a Primary Market Transaction Production Test

July 01, 2020

Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.  See additional information regarding this change in Regulatory Notice 19-30. 

2015047727501 WestPark Capital, Inc CRD 39914 AWC sl (2020-1595809168967).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047727501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WestPark Capital, Inc., Respondent Member Firm CRD No. 39914 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, WestPark Capital, Inc. (“WestPark” or “the firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057742601 BNY Mellon Capital Markets, LLC CRD 17454 AWC jlg (2020-1595722771000).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Member Firm CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BNY Mellon Capital Markets, LLC ("BNY" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2014042444001 Moors & Cabot, Inc. CRD 594 AWC jlg (2020-1595722769451).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042444001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Moors & Cabot, Inc., Respondent Member Firm CRD No. 594 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Moors & Cabot, Inc. (“Moors” or the “Firm”) 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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