Regulatory Notice 24-05

Summary

FINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2 2024 Rule 606(a) Reports to FINRA no later than July 31, 2024.

The text of the new rule is available in the online FINRA manual.

2023077669210 Damian M Baird CRD 3097243 Default Decision df (2024-1711153196451).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAMIAN M. BAIRD (CRD No. 3097243), Respondent. Disciplinary Proceeding No. 2023077669201 Hearing Officer–DRS AMENDED DEFAULT DECISION1 January 31, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents and failing to appear for on-the-record testimony FINRA requested in connection with two investigations. Appearances For the Complainant: John M. Fallon, Esq., Elissa M. Kestin, Esq., and Jennifer L.
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