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2016048837401 Wilson-Davis & Co., Inc. CRD 3777, et al Order DM (2021-1629073215325).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. Disciplinary Proceeding No.2016048837401 Hearing Officer- DRS ORDER ACCEPTING OFFER OF SETTLEMENT

2018058595601 StockCross Financial Services, Inc. CRD 6670 AWC va (2021-1629073214553).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NOS. 2018058595601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StockCross Financial Services, Inc. (acquired by Respondent Muriel Siebert & Co., Inc. as of December 31, 2019), (Respondent) Member Firm CRD No. 6670 Pursuant to FINRA Rule 9216, Respondent StockCross Financial Services, Inc., which was acquired by Muriel Siebert & Co., Inc.

SR-FINRA-2020-038

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications concerning private placement offerings that are subject to those rules’ filing requirements.

Frank Comment On Regulatory Notice 21-19

Why still, is there any reason for trades to be not reportable? Secrecy within trading needs to stop. There needs to be more transparency from all parties involved. “...considering including in FINRA-disseminated short interest data, where available the TSO and public float for securities?” What do you mean “where available”? You are the Financial Regulatory Authority, you should make that statement more definite or you will continue to lose trust and credibility. Do your job.

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