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.

Technical Notice

FINRA Updates FINRA Transparency Services Uniform Executing Broker Agreement

September 04, 2020

FINRA has updated the FINRA Transparency Services Uniform Executing Broker Agreement, which allows a member firm to report trades on behalf of another member firm to a FINRA facility.

The Agreement has been renamed the “FINRA Transparency Services Uniform Reporting Agreement” and updated to define the FINRA member authorized to report on behalf on another member as the “Reporting Participant” (previously defined as the “Executing Broker”), in addition to other non-substantive edits.

2017053653101 Citadel Securities LLC CRD 116797 AWC va (2020-1601770771209).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053653101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citadel Securities LLC (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.
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