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23-02396(3).pdf
order to confirm
SR-FINRA-2026-001
Rule Filing Status: Approved
Rule change to adopt FINRA Rule 3290 (Outside Activities Requirements) and to delete existing FINRA Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person).
JUMP TRADING, LLC
Information
- Reporter ID
- JTSD
- Reporter Type
- Single Dealer Trading System
- Current Report URL
- https://public.s3.com/rule605/jteq/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-27-2026 | https://public.s3.com/rule605/jteq/ |
JUMP TRADING, LLC
Information
- Reporter ID
- JTRE
- Reporter Type
- OTC Market Maker
- Current Report URL
- https://public.s3.com/rule605/jteq/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-27-2026 | https://public.s3.com/rule605/jteq/ |
2025085556701 Jason Foley CRD 4392185 Complaint ks.pdf
The Department of Enforcement alleges: Respondent Jason Foley failed to respond to three FINRA staff requests to provide information and documents made pursuant to FINRA Rule 8210 as part of FINRA’s investigation into Foley’s termination from Wilmington Capital Securities, LLC (“Wilmington”). As a result, Foley violated FINRA Rules 8210 and 2010.