SR-FINRA-2022-006
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
SR-FINRA-2022-006
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
2020066817601 Steven Martin Barnett CRD 1143510 AWC sl (2022-1650068416273).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066817601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Steven Martin Barnett (Respondent)
Former General Securities Representative
CRD No. 1143510
Pursuant to FINRA Rule 9216, Respondent Steven Martin Barnett submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
21-00550(2).pdf
Motion to Vacate
2019062621801 Paul Ronald Koch CRD 1777599 AWC sl (2022-1650068416596).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062621801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Paul Ronald Koch (Respondent)
Former General Securities Representative
CRD No. 1777599
Pursuant to FINRA Rule 9216, Respondent Paul Ronald Koch submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.