SR-FINRA-2023-015
Rule Filing Status: Approved
Rule change to (1) amend FINRA Rules 6710 and 6750 to provide that FINRA will disseminate information on individual transactions in U.S. Treasury Securities that are On-the-Run Nominal Coupons reported to FINRA’s Trade Reporting and Compliance Engine (“TRACE”) on an end-of-day basis with specified dissemination caps for large trades, and (2) amend FINRA Rule 7730 to include U.S. Treasury Securities within the existing fee structure for end-of-day and historic TRACE data.
2022077093901 Darrell Layman CRD 4372889 AWC gg (2024-1712794820455).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022077093901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Darrell Layman (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 4372889
Pursuant to FINRA Rule 9216, Respondent Darrell Layman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Anukool Rege
Anukool Rege joined FINRA in March 2024 as Senior Vice President, Data Management and Governance Office (DMGO). He is a member of the Technology department’s senior leadership team and reports to Steve Randich, Executive Vice President and Chief Information Officer.
Regulatory Notice 24-07
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB).