2018060213202 Alexander Edward Walker CRD 6164661 AWC sl (2020-1604535576491).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060213202
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Alexander Edward Walker (Respondent)
Former General Securities Representative CRD No. 6164661
Pursuant to FINRA Rule 9216, Respondent Alexander Edward Walker submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Technical NoticeWeekly OTC Transparency Data Publication Delay
October 05, 2020
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of September 14th, 2020 (Tier 1) on the OTC Transparency Data website. The issue has now been resolved and all data has been published on the website.
If you have any questions, please contact ATS Support.
2020065552601 Kathleen M. Bott CRD 2185075 AWC sl (2020-1604535576436).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2020065552601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kathleen M. Bott, Respondent
Former General Securities Representative and General Securities Principal
CRD No. 2185075
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kathleen Bott 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-2020-032
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA’s regulatory mission.