Regulatory Notice 21-12
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
2019062886902 Tonya Nicole Smoake CRD 4985049 AWC sl (2021-1618618802395).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062886902
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Tonya Nicole Smoake (Respondent)
Former General Securities Representative
CRD No. 4985049
Pursuant to FINRA Rule 9216, Respondent Tonya Nicole Smoake 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
Disclosure Letters in FINRA Gateway Webinar
During this webinar, FINRA will discuss the enhanced individual disclosure letter process that will become available in FINRA Gateway on May 1, 2021.
Enhanced U5 Filing Webinar
During this webinar, FINRA will discuss the enhanced Form U5 filing process that will become available in FINRA Gateway on May 17, 2021.