2018058286901 Wilfredo Felix CRD 2693672 NAC Decision jlg (2021-1624753228653).pdf
BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of
Department of Enforcement, Complainant, vs. Wilfredo Felix North Amityville, NY, Respondent. DECISION Complaint No. 2018058286901 Dated: May 26, 2021 Respondent failed to comply with FINRA Rule 8210 requests and falsified
expense entries, causing his member firm to maintain inaccurate books and records and file inaccurate FOCUS reports. Held, findings and sanctions affirmed, in relevant part. Appearances
SR-FINRA-2021-013
Rule Filing Status Report: Filed for Immediate Effectiveness
Rule change to amend the Supplemental Inventory Schedule (“SIS”) pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) so that members that are filers of FOCUS Report Part II will not be required to file the SIS.
SR-FINRA-2021-012
Rule Filing Status: Filed for Immediate Effectiveness
SR-FINRA-2021-012
Financial Industry Regulatory Authority, Inc.
SR-FINRA-2021-013
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Supplemental Inventory Schedule (“SIS”) pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) so that members that are filers of FOCUS Report Part II will not be required to file the SIS. The proposed rule change does not make any other change to the SIS or the instructions thereto.