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2019061989601 Walter Osvaldo Vazquez CRD 4485011 AWC va (2020-1604189971958).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061989601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Walter Osvaldo Vazquez, Respondent Registered Representative CRD No. 4485011 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Walter Osvaldo Vazquez submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeFINRA Updates the OTCBB/OTC Equities High Price Dissemination List
October 02, 2020
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 2, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 1, 2020 as the “Start” date and October 2, 2020 as the “End” date.
On the Front Lines of Investor Protection
On the Front Lines of Investor Protection
Form U4 and CE Webinar
Learn more about how FINRA will implement the changes described in the 6/25/20 Information Notice. We will discuss the impact these changes will have on how firms create and submit Form U4, as well as how individual representatives will use the FinPro system to access CE and collaborate with their firm on Form U4 filings.