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2017054054501 Barclays Capital Inc. CRD 19714 AWC va (2020-1609460398973).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054054501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065349501 Sean M. Johnson CRD 7165567 AWC va (2020-1609460398683).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065349501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean M. Johnson, (Respondent) Former Associated Person CRD No. 7165567 Pursuant to FINRA Rule 9216, Respondent Sean M. Johnson submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059242801 Gregory Walter McCloskey CRD 2820510 Complaint va (2020-1609460399586).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Walter McCloskey, CRD No. 2820510, Respondent. Disciplinary Proceeding No. 2018059242801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between 2008 and 2018, Respondent Gregory Walter McCloskey, while associated with FINRA member firms, participated in two undisclosed private securities

Information Notice – 12/1/20

Summary

FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday when the exchanges or banks are closed in 2021. 

Regulatory Notice 20-41

Summary

FINRA has amended its rules to require firms to report time fields in trade reports submitted to a FINRA equity trade reporting facility (or FINRA Facility)1 using the same timestamp granularity that they use when reporting to the Consolidated Audit Trail (CAT). Once the amendments are effective, firms that report time on CAT order execution events in increments finer than milliseconds must report to the FINRA Facilities in such finer increment—up to nanoseconds.

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