2023080625001 Andre Krause CRD 4060322 AWC gg (2024-1713486016245).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080625001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andre Krause (Respondent) General Securities Representative CRD No. 4060322 Pursuant to FINRA Rule 9216, Respondent Andre Krause submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022073944702 John Jude Butler CRD 2689182 AWC lp (2024-1713486016956).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073944702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Jude Butler (Respondent) Former General Securities Representative CRD No. 2689182 Pursuant to FINRA Rule 9216, Respondent John Jude Butler (Butler) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Trade Reporting Notice 3/22/24

Summary

FINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the decimal.

2022074921901 Todd Arnold Havemeister CRD 1942953 AWC lp (2024-1713486016363).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074921901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Todd Arnold Havemeister (Respondent) Former General Securities Representative CRD No. 1942953 Pursuant to FINRA Rule 9216, Respondent Todd Arnold Havemeister submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023080682201 Matthew J. Chimento CRD 5749914 AWC lp (2024-1713486015701).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080682201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew J. Chimento (Respondent) Former General Securities Representative CRD No. 5749914 Pursuant to FINRA Rule 9216, Respondent Matthew J. Chimento submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 24-08

Summary

FINRA has amended FINRA Rule 4210 (Margin Requirements) to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that are written against products that track the same underlying index. Referred to as “protected” option or warrant positions, the new exception conforms with similar provisions Cboe recently adopted. The amendments are effective as of the date of issuance of this Notice.

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