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2018056305601 Corecap Investments LLC CRD 37068 AWC va (2020-1599351572214).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056305601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Corecap Investments, LLC, Respondent Member Firm CRD No. 37068 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Corecap Investments, LLC, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064738101 Shaun C. Simmons CRD 5968594 AWC va (2020-1599265168633).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064738101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shaun C. Simmons, Respondent General Securities Representative CRD No. 5968594 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Shaun C. Simmons 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

Error Handling

August 05, 2020

Beginning September 11, 2020, FINRA will modify the API platform that some clients use to gain access to OTC Transparency data. This change involves how the API platform responds to an API request that results in no data found.

Currently, the API platform responds with a HTTP status code of “200” and returns a JSON formatted response that includes a status code field and a message field set to "No data found for specified dataset request”, among other data.

2019063585501 John Pace McConkie CRD 6092544 AWC sl (2020-1599178770763).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063585501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Pace McConkie, Respondent Former Registered Representative CRD No. 6092544 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Pace McConkie submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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