2018057742101 Samuel A Ramirez & Co., Inc. CRD 6963 AWC va (2021-1626308423637).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057742101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Samuel A Ramirez & Co., Inc. (Respondent) Member Firm CRD No. 6963 Pursuant to FINRA Rule 9216, Respondent Samuel A Ramirez & Co., Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2020065607801 Michael Joseph Riccio CRD 2529322 AWC rjr-1 (2021-1626308424478).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065607801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Joseph Riccio (Respondent) General Securities Representative CRD No. 2529322 Pursuant to FINRA Rule 9216, Respondent Michael Joseph Riccio submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Alana furlow Comment On Regulatory Notice 21-19
I believe absolutely that 1- Finra should publish on the FINRA website short interest data for all equity securities (listed and unlisted). 2-potential short interest enhancements discussed above would , YES, be equally beneficial for both OTC equity securities and exchange-listed equity securities. In all I have discovered from public information made readily available on the sub Reddit /superstonk it seems the American markets are FAR from fair or transparent. Fines seem to be pennies for the profit of crimes, yes, crimes. These seem to not just be accidental incorrect reporting.
Regulatory Notice 21-21
Summary
Effective September 1, 2021, FINRA is amending its rulebook to eliminate the Order Audit Trail System (OATS) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) (collectively referred to as the “OATS Rules”). FINRA has determined that the accuracy and reliability of the Consolidated Audit Trail (CAT) meet the standards approved by the SEC and has determined to retire OATS as of September 1, 2021.
RC Whalen Comment On Regulatory Notice 21-17
None of the current rules and procedures used by FINRA or its member firms create unintended barriers to greater diversity and inclusion in the broker-dealer industry or might have unintended disparate impacts on those within the industry. Quite the contrary, FINRA and the brokerage industry have made huge strides in encouraging and fostering diversity. In the 30 plus years of my career, there has been a demonstrable increase the the participation of women and minorities in all aspects of the industry.