2017053432301 Goldman Sachs & Co. LLC CRD 361 AWC sl (2020-1579479583509).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053432301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC, Respondent Member Firm CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Goldman Sachs & Co. LLC (“Goldman Sachs” 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.

2019062879601 Thomas M. Grbelja CRD 1966191 AWC sl (2020-1579479582925).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062879601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas M. Grbelja, Respondent Former Registered Representative CRD No. 1966191 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Thomas M. Grbelja submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061193201 Glen Webster CRD 4839854 AWC va (2020-1579393189056).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061193201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glen Webster (Respondent) CRD No. 4839854 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

FINRA Updates the OTCBB/OTC Equities High Price Dissemination List

December 20, 2019

FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 20, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 19, 2019 as the “Start” date and December 20, 2019 as the “End” date.

Subscribe to