2016049886601 Kevin Paul Rast CRD 1350998 AWC va (2020-1608769198657).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049886601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Paul Rast (Respondent) Former: General Securities Representative; General Securities Principal; Municipal Securities Principal CRD No. 1350998 Pursuant to FINRA Rule 9216, Respondent Kevin Paul Rast submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeReminder - Transparency Services Initiatives
November 23, 2020
Earlier this year, FINRA introduced its Transparency Services Infrastructure Initiatives project and created a web page detailing this effort. Items highlighted on this web page include an infrastructure upgrade to the existing TRACE Trade Reporting system web application (TRAQS), a new web application for Issue Management, and enhanced Reference Data tools including firm access to manage their own entitlement.
Information Notice – 11/23/20
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted to FINRA must be made electronically through FINRA Gateway.
2019061187801 Vincent A. Virga CRD 5070668 AWC sl (2020-1608769199027).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061187801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Vincent A. Virga (Respondent)
General Securities Representative CRD No. 5070668
Pursuant to FINRA Rule 9216, Respondent Vincent A. Virga submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.