SR-FINRA-2019-014
Rule Filing Status: Approved
Rule change to amend FINRA Rule 6730 (Transaction Reporting) to provide members additional time to report to the Transaction Reporting and Compliance Engine (“TRACE”) transactions in U.S. Treasury Securities executed to hedge a primary market transaction, and to adopt a new modifier to identify such transactions.
FINRA Rules
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17-03139.pdf
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2019061427301 Lori Rood Thompson CRD 2416616 AWC va (2019-1571617198382).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061427301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lori Rood Thompson, Respondent General Securities Representative CRD No. 2416616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Lori Rood Thompson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.