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2017054381601 Harry Seth Datys CRD 1877750 AWC va (2020-1602202767886).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054381601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harry Seth Datys, Respondent Former General Securities Representative CRD No. 1877750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harry Seth Datys submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice
OTC Transparency Data Publication Delay
September 08, 2020

FINRA is experiencing an issue this morning with the display of Weekly OTC Transparency Data for the week of August 17, 2020 (Tier 1) on the OTC Transparency Data website. However, the data is available via the API. The issue is currently being investigated and a subsequent notice will be published once the data is available on the website.

If you have any questions, please contact ATS Support.

Technical Notice
TLS Encryption Standards
September 08, 2020

Beginning Wednesday, September 30, 2020, the FINRA OTCE (otce.finra.org) and OTC Transparency Data (otctransparency.finra.org) websites will support only TLS version 1.2 encryption standards. This change is being made to improve website security by enforcing TLS 1.2 or higher encryption for all data in transit.

Technical Notice
FINRA New Issue Form Changes
September 08, 2020

As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available to all current FINRA New Issue Form users with the same log in credentials used to access the New Issue Form today.

2020065898801 John R. Jaramillo CRD 2659263 AWC sl (2020-1602202767712).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065898801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: John R. Jaramillo, Respondent Former General Securities Representative, Investment Company and Variable Contracts Products Representative and Investment Company Products and Variable Contracts Principal CRD No. 2659263

20-00444.pdf

19-03649.pdf

20-00087.pdf

20-00698.pdf

2019063227101 Chih-Ming Huang CRD 4550102 AWC jlg (2020-1601857166109).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063227101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chih-Ming Huang, Respondent Former Investment Company Shares and Variable Contracts Representative CRD No. 4550102 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Chih-Ming Huang 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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