Information Notice - 12/24/24
Summary
Effective January 1, 2025, the Prospective CAT Cost Recovery Fee 2024-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and the Prospective CAT Cost Recovery Fee 2025-1 will be in effect.
Questions regarding this Notice may be directed to:
Information Notice 12/24/24
Summary
Effective January 1, 2025, Historical CAT Cost Recovery Assessment 1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers.
Questions regarding this Notice may be directed to:
2018059519001 Virtu Americas LLC CRD 149823 AWC gg (2025-1737591594649).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018059519001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Virtu Americas LLC (Respondent)
Member Firm
CRD No. 149823
Pursuant to FINRA Rule 9216, Respondent Virtu Americas LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022076210801 Emilio Guajardo, Jr. CRD 4871764 AWC gg (2025-1737591594656).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2022076210801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Emilio Guajardo, Jr. (Respondent)
Former General Securities Representative
CRD No. 4871764
Pursuant to FINRA Rule 9216, Respondent Emilio Guajardo, Jr., ("Guajardo"), submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
2023078308801 Steven Michael Blanchard CRD 6042470 AWC gg (2025-1737591594637).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078308801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Steven Michael Blanchard (Respondent)
Former General Securities Representative
CRD No. 6042470
Pursuant to FINRA Rule 9216, Respondent Steven Michael Blanchard submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020065501201 J.P. Morgan Securities LLC CRD 79 AWC gg (2025-1737591594801).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065501201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: J.P. Morgan Securities LLC (Respondent)
Member Firm
CRD No. 79
Pursuant to FINRA Rule 9216, Respondent J.P. Morgan Securities LLC (JPMS) submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
Harvested Financial Comment On Regulatory Notice 24-13
To Whom it May Concern,
Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention.