2022074289902 Independence Capital Co., Inc. CRD 24723 and Dennis C. Twarogowski CRD 1033169 AWC lp.pdf

Between August 2020 and February 2021, Independence Capital and Twarogowski failed to reasonably supervise five representatives' recommendations ofGWG L Bonds. Independence Capital also failed to establish and maintain written procedures reasonably designed to achieve compliance with Reg BI.

7660B. FINRA/NYSE Trade Reporting Facility Fees for Non-Participants

FINRA members that are not FINRA/NYSE Trade Reporting Facility participants will be charged a monthly fee of $1,000 for read-only access to the NYSE TRF Portal, Drop Copy, and End of Day Journal.
For purposes of this Rule, “NYSE TRF Portal” is a web-based interface provided by the FINRA/NYSE Trade Reporting Facility that allows FINRA members that are not FINRA/NYSE Trade Reporting Facility participants to see trade reports identifying them as a party to the transaction; “Drop Copy” is a service provided by the FINRA/NYSE Trade Re

SR-FINRA-2026-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) for trade reporting but elect to purchase specified services.
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