SR-FINRA-2022-002

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the query fee applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRF”).

2019060957101 CIM Securities, LLC CRD 120852 AWC sl (2022-1646266816295).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060957101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CIM Securities, LLC (Respondent or CIM Securities) Member Firm CRD No. 120852 Pursuant to FINRA Rule 9216, Respondent CIM 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.

2019063042401 Mark Giordano CRD 4052216 AWC sl (2022-1646266814767).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063042401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark Giordano (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 4052216 Pursuant to FINRA Rule 9216, Respondent Mark Giordano 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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