Regulatory Notice 21-33

Summary

FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11).2 As amended, Rule 6432 will require a qualified inter-dealer quotation system (Qualified IDQS)3 to submit a modified Form 211 filing to FINRA in connection with each initial information review, and a daily security file to FINRA containing summary information for all securities quoted on its system on each day that it makes a pu

2020066177702 Paul Wesley Furusho CRD 2165709 AWC va (2021-1634343606782).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066177702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Wesley Furusho (Respondent) Former General Securities Representative CRD No. 2165709 Pursuant to FINRA Rule 9216, Respondent Paul Wesley Furusho 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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