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2023080450801 Matthew T. Chen CRD 7135693 AWC vr.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080450801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew T. Chen (Respondent) Former General Securities Representative CRD No. 7135693 Pursuant to FINRA Rule 9216, Respondent Matthew T. Chen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Date by which firms must submit the first RSL list to FINRA.

The first list will reflect all locations a firm designates as RSLs during the period June 1, 2024, through September 30, 2024.

Date by which firms previously relying on the Notice 20-08 Relief must file supplementary amendments to Form U4 and BR with FINRA in accordance with Article V, Section 2 or Article IV, Section 8 of the FINRA By-Laws.

The first day a firm may use the RSL designation.

Date on which firms previously relying on the Notice 20-08 Relief must comply with the timeframes specified in Article V, Section 2 or Article IV, Section 8 of the FINRA By-Laws.

Release of FINRA Gateway functionality for firms to identify their RSLs and meet the obligation to provide their quarterly RSL lists to FINRA in accordance with Rule 3110.19(d)

End of Regulatory Notice 20-08 Relief

End of Regulatory Notice 20-08 Relief.

23-02764.pdf

24-00207.pdf

23-01431.pdf

2022073298301 Mizuho Securities USA LLC CRD 19647 AWC gg.pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073298301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mizuho Securities USA LLC (Respondent) Member Firm CRD No. 19647 Pursuant to FINRA Rule 9216, Respondent Mizuho Securities USA LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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