SR-FINRA-2021-001

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with a conditional exemption granted by the Commission from certain allocation reporting requirements set forth in Sections 6.4(d)(ii)(A)(1) and (2) of the CAT NMS Plan (“Allocation Exemption”).

2019064399201 Timothy Joseph CRD 4393016 AWC va (2021-1612398000394).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064399201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Timothy Joseph (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 4393016 Pursuant to FINRA Rule 9216, Respondent Timothy Joseph 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

2019061510101 Terry Tzagarakis CRD 2796055 AWC va (2021-1612398001044).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061510101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Terry Tzagarakis (Respondent) General Securities Representative CRD No. 2796055 Pursuant to FINRA Rule 9216, Respondent Terry Tzagarakis 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
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