2013039634703 Key Investment Services LLC CRD 136300 AWC jlg (2020-1578269979238).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2013039634703 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Key Investment Services LLC, Respondent Member Firm CRD No. 136300 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Key Investment Services LLC ("KIS," "Respondent," 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.

2015044806901 Nomura Securities International, Inc. CRD 4297 AWC jlg (2020-1578269980558).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150448069101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nomura Securities International, Inc., Respondent Member Firm CRD No. 4297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Nomura Securities International, Inc. ("Nomura" 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.

2018059315002 Roxana Sophia McKinney CRD 4830895 AWC va (2020-1578269978722).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney 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

U.S. Treasury Securities Executed to Hedge a Primary Market Transaction

December 09, 2019

Beginning June 1, 2020, as described in Regulatory Notice 19-30 members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction [that meets the FINRA Rule 6710 definition of “List or Fixed Offering Price Transaction” or “Takedown Transaction”] with an appropriate identifier.  The Sale Condition 2 Identifier, available via the TRAQS secure web browser and the TRACE for Treasuries FIX protocol (Tag 22002) will be available for this designation. 

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