SR-FINRA-2019-030
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in accordance with their terms.
2014043557401 Jefferies Execution Services, Inc. nka Jefferies LLC CRD 867 AWC (2020-1578874778719).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043557401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jefferies Execution Services, Inc., n/k/a Jefferies LLC, Respondent Member Firm CRD Nos. 867 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jefferies Execution Services, Inc. ("JefEx" or the "Firm"), n/k/a Jefferies LLC, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
19-01113.pdf
NWAWD-New Code Award Template