SR-FINRA-2024-020

Financial Industry Regulatory Authority, Inc. (“FINRA”) is, consistent with SEA Rule 10c-1a, filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new FINRA Rule 7720 (Securities Lending and Transparency Engine (SLATE™)) to establish securities loan reporting fees and securities loan data products with associated fees in connection with FINRA’s separately proposed Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)) establishing securities loan reporting and data dissemination requirements.

2023077003601 National Financial Services, LLC 2023077003601 (2024-1734740402217).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077003601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: National Financial Services LLC (Respondent) Member Firm CRD No. 13041 Pursuant to FINRA Rule 9216, Respondent National Financial Services LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077022901 Torch Securities, LLC CRD 133642 and Thomas B. O'Driscoll CRD 2416678 AWC vr (2024-1734740401013).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, W AIYER, AND CONSENT NO. 2023077022901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Torch Securities, LLC (Respondent) Member Firm CRD No. 133642 Thomas B. O'Driscoll (Respondent) General Securities Representative CRD No. 2416678 Pursuant to FINRA Rule 9216, Respondents Torch Securities, LLC and Thomas O 'Driscoll submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023077024401 Troy Allen Orlando CRD 6055474 AWC vr (2024-1734740401015).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077024401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Troy Allen Orlando (Respondent) Former General Securities Representative CRD No. 6055474 Pursuant to FINRA Rule 9216, Respondent Troy Allen Orlando 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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