Technical Notice

Pandemic/Business Continuity Planning for FINRA Reporting Facilities

March 09, 2020

In light of the recent outbreak of coronavirus disease (COVID-19), FINRA continues to review its pandemic and business continuity plans to ensure continuous operation of FINRA’s facilities for the reporting of OTC transactions in equity and fixed income securities (i.e., the Alternative Display Facility (ADF), the OTC Reporting Facility (ORF), the Trade Reporting and Compliance Engine (TRACE) and the FINRA Trade Reporting Facilities (TRFs), operated on FINRA’s behalf by the TRF Business Members1) (collectively, the “FINRA Facilities”).

2018059475401 Benjamin Kaz Fujihara CRD 2696451 AWC va (2020-1586132368130).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059475401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Benjamin Kaz Fujihara, Respondent General Securities Representative, Investment Company and Variable Contracts Products Representative, General Securities Sales Supervisor CRD No.

2018058057401 Imran N. Razvi CRD 3042006 AWC sl (2020-1586132369222).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058057401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Imran N. Razvi, Respondent Former Investment Company and Variable Contracts Products and General Securities Representative CRD No. 3042006 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Imran N. Razvi submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
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