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Technical Notice

Now Available - Weekly Aggregated Reports and Statistics for U.S. Treasury Securities

March 10, 2020

Background

On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting today March 10, the new TRACE Treasury aggregates are published on FINRA's website.

2019061947501 Erik Patrick Pica CRD 4829533 OHO Decision va (2020-1586391570980).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIK PATRICK PICA (CRD No. 4829533), Respondent. Respondent is barred from associating with any FINRA member in any capacity for converting and misusing customer funds; providing false and misleading information to a customer, to a FINRA member firm, and to FINRA staff; testifying falsely in on-the-record testimony under FINRA Rule

2018057708301 John Stuart Crain CRD 2748785 AWC sl (2020-1586391571512).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057708301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: John Stuart Crain, Respondent General Securities Representative CRD No. 2748785 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, John Stuart Crain (“Crain”) or “Respondent”) 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

2017056561101 Raymond A. Thomas CRD 1675282 Complaint va (2020-1586132384878).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Raymond A. Thomas (CRD No. 1675282), Respondent. DISCIPLINARY PROCEEDING No. 2017056561101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February 2014 and September 2017 (the "Relevant Period"), while

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”).

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