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Regulatory Notice 20-20
FINRA is issuing this Regulatory Notice to provide members an update on regulatory coordination efforts concerning compliance with CAT reporting rules (the “CAT compliance rules”).
Technical NoticeU.S. Treasury Securities Executed to Hedge a Primary Market Transaction Production Test
July 01, 2020
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
2015047727501 WestPark Capital, Inc CRD 39914 AWC sl (2020-1595809168967).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047727501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WestPark Capital, Inc., Respondent Member Firm CRD No. 39914 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, WestPark Capital, Inc. (“WestPark” or “the firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.