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Technical Notice

FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)

September 22, 2020

Update 6:15 PM, ET

FINRA has resolved the problem which was causing an error when users attempted to file a TRACE or Over the Counter Reporting Facility (ORF) form.

5:36 PM, ET

Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing will incur an error. 

2019063697901 Deborah Leah Beal CRD 5585963 AWC va (2020-1603412368886).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063697901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deborah Leah Beal, Respondent Former General Securities Representative CRD No. 5585963 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deborah Leah Beal submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-030

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

This filing has been withdrawn.

2019062271501 Harry Rosenberg CRD 2682841 AWC sl (2020-1603412368724).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062271501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harry Rosenberg, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2682841 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Harry Rosenberg 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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