Technical NoticeFINRA Test Facility Availability
December 07, 2020
The FINRA Test Facility (NTF) will be undergoing systemic maintenance and will be unavailable for TRAQS and API reference data users all day on Friday, December 11, 2020.
NTF FIX users and NTF data feed recipients are unaffected by this event. In addition, no production systems are affected by this maintenance.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
2018057735701 Mizuho Securities USA LLC CRD 19647 AWC va (2021-1609978798722).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057735701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mizuho Securities USA LLC, (Respondent) Member Firm CRD No. 19647 Pursuant to FINRA Rule 9216, Respondent Mizuho Securities USA LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019064639702 Stephen Anthony Nappo CRD 1691373 AWC sl (2021-1609978798295).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064639702
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Stephen Anthony Nappo (Respondent)
Investment Company and Variable Contracts Products Representative CRD No. 1691373
Pursuant to FINRA Rule 9216, Respondent Stephen Anthony Nappo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
SR-FINRA-2020-043
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-026 from December 31, 2020, to April 30, 2021. Due to the impacts of COVID-19 on the administration of FINRA qualification examinations at test centers, SR-FINRA-2020-026 extended the 120-day period that certain individuals can function as a principal or Operations Professional without having successfully passed an appropriate qualification examination through December 31, 2020.