2020066205401 Athanasios Tomaras CRD 2722538 AWC sl (2021-1633738812019).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066205401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Athanasios Tomaras (Respondent) General Securities Representative; General Securities Sales Supervisor; Municipal Securities Representative; General Securities Principal CRD No. 2722538 Pursuant to FINRA Rule 9216, Respondent Athanasios Tomaras submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063972801 Santander Investment Securities Inc. CRD 37216 AWC sl (2021-1633738813559).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063972801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander Investment Securities Inc. (Respondent) Member Firm CRD No. 37216 Pursuant to FINRA Rule 9216, Respondent Santander Investment Securities Inc. (SIS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 21-32

Summary

FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP identifier and provides documentation to identify the security.

Questions concerning this Notice should be directed to:

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