2020066775501 Jaime I. Sanchez Rivera CRD 6013022 AWC va (2021-1611361193271).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066775501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jaime I. Sanchez Rivera, Respondent Former General Securities Principal Former General Securities Representative CRD No. 6013022 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jaime I. Sanchez Rivera ("Sanchez") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 20-43

Summary

In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes to TRACE reporting for U.S.

2018059433001 David Jin Kyu Chong 2679656 AWC rrm (2021-1611361193305).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059433001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Jin Kyu Chong (Respondent) General Securities Representative CRD No. 2679656 Pursuant to FINRA Rule 9216, Respondent David Jin Kyu Chong submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-046

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to extend, to October 26, 2021, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016.

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