Technical Notice

Reminder: Upcoming Effective Date for Changes Relating to FINRA ADF and TRF Timestamp Granularity

September 20, 2021

On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity trade reporting rules.

2021071998001 David S. Wells CRD 6774493 AWC sl (2021-1634775609978).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071998001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David S. Wells (Respondent) Former General Securities Representative CRD No. 6774493 Pursuant to FINRA Rule 9216, Respondent David S. Wells submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064312901 Jerry Rice CRD 375290 AWC jlg (2021-1634775609355).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2019064312901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jerry Rice (Respondent) Former General Securities Representative CRD No. 375290 Pursuant to FINRA Rule 9216, Respondent Jerry Rice 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,

Erica Comment On Regulatory Notice 21-19

I am a new retail investor. I hold GME and AMC stocks not only as a way to gain financial freedom, but also as a way to protest market manipulation and shed a light on corruption in Wallstreet. After learning about the blatant manipulation that is happening in the market, I have grown increasingly passionate about fighting for a free and fair market for all. I have witnessed the hedge funds illegally manipulate the market every day and steal from me and millions of other retail investors.

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