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SR-FINRA-2020-028
Rule Filing Status: Filed for Immediate Effectiveness
SR-FINRA-2020-028
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New Membership Application Form) and Form CMA (Continuing Membership Application Form) — required under Rule 1013 (New Member Application and Interview) and Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations), respectively, to conform to amendments to the Membership Application Program (“MAP”) rules as described in File No.
Technical NoticeFINRA OTCE and OTC Transparency Data Websites Availability
September 11, 2020
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, September 12, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
2017053820401 INTL FCStone Financial Inc CRD 45993 AWC sl (2020-1602461970848).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2017053820401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: INTL FCStone Financial Inc., Respondent
Member Firm CRD No. 45993
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent INTL FCStone Financial Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.