Regulatory Notice 24-17

FINRA seeks comment on proposed amendments to FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.

SR-FINRA-2024-022

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to make changes to certain provisions relating to arbitrator list selection.

2020067409501 Seaport Global Securities LLC CRD 116270 AWC lp (2025-1737159601672).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067409501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Seaport Global Securities LLC (Respondent) Member Firm CRD No. 116270 Pursuant to FINRA Rule 9216, Respondent Seaport Global Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061442601 UBS Financial Services, Inc., CRD 8174 AWC gg (2025-1737159608503).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061442601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. (UBS-FS) 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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