Regulatory Notice 19-30
Summary
Effective June 1, 2020, members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction with an appropriate identifier. Members will have additional time to report such transactions—until the next business day during TRACE system hours. The rule text is available in the online FINRA Manual.
Questions regarding this Notice should be directed to:
2018057149701 Donald Edward Teboe CRD 4407610 AWC jm (2019-1571357987315).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald Edward Teboe, Respondent General Securities Representative CRD No. 4407610 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald Edward Teboe submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
2017054548001 Kevin J. Murphy CRD 1645347 Complaint va (2019-1571271588272).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEVIN J. MURPHY (CRD No. 1645347), Respondent. DISCIPLINARY PROCEEDING No. 2017054548001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between July 2016 and September 2016, while registered with FINRA member firm Electronic Transaction Clearing, Inc. (ETC) (CRD No. 146122),
SR-FINRA-2019-019
Rule Filing Status: Approved
Rule change to amend Rules 6110 and 6610 to expand the summary firm data relating to over-the-counter (“OTC”) equity trading that FINRA publishes on its website.