2016048614701 Dealerweb Inc. CRD 19662 AWC va (2021-1630887617625).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048614701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dealerweb Inc., Respondent Member Firm CRD No. 19662 Pursuant to FINRA Rule 9216, Respondent Dealerweb Inc. (Dealerweb) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017055890901 Cesar Hurtado CRD 4137948 AWC va (2021-1630887616784).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055890901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cesar Hurtado (Respondent) General Securities Representative CRD No. 4137948 Pursuant to FINRA Rule 9216, Respondent Cesar Hurtado 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 21-28

Summary

FINRA has adopted new Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems),1 which implements additional requirements for firms that operate systems that regularly disseminate the quotations of identified broker-dealers in OTC Equity Securities (each an “inter-dealer quotation system” or “IDQS”).2 Rule 6439 will become effective on October 1, 2021, except for paragraph (d)(1)(B), which relates to the collection of order-level information.

Subscribe to