2012030731802 3-18895 William H. Murphy & Co., Inc. CRD 27274 and William H. Murphy 343492 SEC Decision va (2021-1612398000275).pdf
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 90759 / December 21, 2020 Admin. Proc. File No. 3-18895 In the Matter of the Application of WILLIAM H. MURPHY & CO., INC.
and WILLIAM H. MURPHY For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Registered securities association found that member firm engaged in the unregistered sale of securities when no exemption from
2019062521501 Daniel Peter Daly CRD 1862120 AWC jlg (2021-1612398000447).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062521501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Peter Daly (Respondent) Former General Securities Representative CRD No. 1862120 Pursuant to FINRA Rule 9216, Respondent Daniel Peter Daly 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
SR-FINRA-2021-001
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed 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”).