SR-FINRA-2020-028

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New Membership Application Form) and Form CMA (Continuing Membership Application Form) — required under Rule 1013 (New Member Application and Interview) and Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations), respectively, to conform to amendments to the Membership Application Program (“MAP”) rules as described in File No.

2017053820401 INTL FCStone Financial Inc CRD 45993 AWC sl (2020-1602461970848).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053820401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: INTL FCStone Financial Inc., Respondent Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent INTL FCStone Financial Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016051318601 ViewTrade Securities, Incorporated CRD 46987 AWC sl (2020-1602461970682).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051318601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ViewTrade Securities, Incorporated, Respondent Member Finn CRD No. 46987 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent ViewTrade Securities, Incorporated (ViewTrade or the Firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062041901 David A. Rizzo CRD 4882628 AWC jlg (2020-1602461970339).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062041901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David A. Rizzo, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4882628 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent David A. Rizzo 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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