Regulatory Notice 22-04

Summary

In light of the increasingly automated markets for NMS stocks, FINRA is issuing this Notice to remind member firms of their obligation to execute marketable customer orders fully and promptly. We also are reminding firms of their obligation to ensure that their supervisory systems are reasonably designed to achieve compliance with this obligation.

Questions concerning this Notice should be directed to:

2018059446101 Credit Suisse Securities (USA) LLC CRD 816 AWC sl (2022-1645316402747).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059446101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC (Credit Suisse) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067611801 Shane Edward Perry CRD 2163879 AWC sl (2022-1645316402152).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067611801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shane Edward Perry (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2163879 Pursuant to FINRA Rule 9216, Respondent Shane Edward Perry 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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