2009016160001 File No 3-19870 Shlomo Sharbat CRD 2399408 SEC Decision jlg (2022-1642292407099).pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 93757 / December 13, 2021 Admin. Proc. File No. 3-19870 In the Matter of the Application of SHLOMO SHARBAT For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF DISCIPLINARY PROCEEDING Individual appealed FINRA’s default decision, which barred him from associating with any FINRA member firm because he failed to respond to its requests for testimony.

SR-FINRA-2021-033

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”).

2017054432703 RBC Capital Markets, LLC CRD 31194 AWC DM (2022-1642292407226).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054432703 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC (RBC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

SR-FINRA-2021-033

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”). 

This filing has been withdrawn.

2019063245601 Robert Norris CRD 4942444 AWC DM (2022-1642206021214).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063245601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Norris (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4942444 Pursuant to FINRA Rule 9216, Respondent 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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