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Regulatory Notice 24-06

Summary

FINRA has adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other professionals who choose to subscribe to the new data set. This new transaction-level data will be publicly available and free of charge on FINRA’s website for non-professionals’ personal, non-commercial purposes on a next-day basis.

2021070609301 NewEdge Securities, Inc. fka Mid Atlantic Capital Corp. CRD 10674 AWC vr (2024-1712449213310).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070609301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: NewEdge Securities, Inc., formerly known as Mid Atlantic Capital Corporation (Respondent) Member Firm CRD No. 10674 Pursuant to FINRA Rule 9216, Respondent NewEdge Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.