6439. Requirements for Member Inter-Dealer Quotation Systems

A member inter-dealer quotation system (whether or not also an alternative trading system or “ATS” as defined by Rule 300(a) of SEC Regulation ATS) that permits quotation updates on a real-time basis in OTC Equity Securities must comply with the following requirements:
(a)  The member inter-dealer quotation system must establish, maintain and enforce written policies and procedures relating to the collection and dissemination of quotation information in OTC Equity Securities on or through its system.  Such written pol

2018058924502 Adam James Makkai CRD 4025159 Hearing Panel Decision va (2021-1625444420443).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADAM JAMES MAKKAI (CRD No. 4025159), Respondent. Disciplinary Proceeding No. 2018058924502 Hearing Officer-MJD HEARING PANEL DECISION Date: June 3, 2021 For paying commissions to an unregistered person, in violation of FINRA Rules 2040 and 2010, Respondent is fined $2,000 and suspended for ten

2019063490102 Ricardo Turlan CRD 4431836 AWC sl (2021-1625444422120).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063490102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ricardo Turlan (Respondent) Former General Securities Representative CRD No. 4431836 Pursuant to FINRA Rule 9216, Respondent Ricardo Turlan 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,
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