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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064696501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John C. Braddock (Respondent) Former General Securities Representative CRD No. 1282733 Pursuant to FINRA Rule 9216, Respondent John C. Braddock submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065347501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dennis Domingo Cummings Perez (Respondent) General Securities Representative CRD No. 2923607 Pursuant to FINRA Rule 9216, Respondent Dennis Domingo Cummings Perez (Cummings) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Steven Thiakos Comment On Regulatory Notice 21-19

Section C: "...short interest reports could be due by 6:00 p.m. ET one business day after the designated reporting settlement date..." In this statement, it's the data that is fixed but the frequency is dynamic. For example, if there's no short sale for 2 days then there will be a reporting gap. Consider that the reporting frequency be fixed but the content be dynamic. A daily report due at 6PM ET reflecting the day's short activity where short sale transactions are in a certain state: 1. EXECUTED - executed on that day and has begun settlement 2.

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