2017055668501 BMO Capital Markets Corp. CRD 16686 AWC sl (2020-1598055569514).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055668501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BMO Capital Markets Corp., Respondent Member Firm CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BMO Capital Markets Corp. (“BMO"’ 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.

2016049752801 Virtu Americas LLC (f k a KCG Americas LLC) CRD 149823 AWC jlg (2020-1597969172197).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049752801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Virtu Americas LLC (f/k/a KCG Americas LLC), Respondent Broker-Dealer CRD No. 149823 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Virtu Americas LLC ("Virtu", or the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2018059615001 Two Sigma Securities, LLC CRD 148960 AWC jlg (2020-1597969172365).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20180596150-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Two Sigma Securities, LLC ("Two Sigma" or the "Firm"), Respondent Member Firm: CRD No. 148960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Two Sigma Securities, LLC 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

FINRA New Issue Submission Platform

July 22, 2020

As announced in the April 28, 2020 notice, “Introduction to Transparency Services Initiatives and Webpage”, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform. The new platform will be available with the same log in credentials used to access the FINRA New Form today and is expected to go live on Monday, September 28, 2020.

2016049414401 Stephen Sloane CRD 1257601 Complaint sl (2020-1597969173077).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen Sloane CRD No. 1257601 Respondent. Disciplinary Proceeding No. 2016049414401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2014 to January 2018 (the “Relevant Period”), Stephen Sloane recommended an unsuitable investment strategy to 14 retail customers (the “Treasury customers”). Specifically, Sloane recommended that the Treasury customers engage in active, short-term trading of U.S. Treasuries with 10- and 30-year maturities,
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