Technical Notice

Weekend Testing Opportunity – Members Exchange – August 15, 2020

August 11, 2020

Members Exchange (“MEMX”) is providing a testing opportunity this weekend in preparation for their September launch.  Firms participating in the August 15, 2020 test may send OATS data related to those orders to the OATS Certification Testing environment before the following Monday's OATS reporting deadline. OATS will then attempt to match to the MEMX test data. Matching statistics for the weekend test will be provided to firms upon request and will not be published to OATS CT Website.

2015047770301 Interactive Brokers LLC CRD 36418 AWC sl (2020-1599697173024).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047770301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC, Respondent Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Interactive Brokers LLC (“Interactive Brokers” 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.

2019062246401 Kimberly Ann Barentsen CRD 2092280 AWC sl (2020-1599697173852).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062246401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kimberly Ann Barentsen, Respondent Registered Representative CRD No. 2092280 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kimberly Ann Barentsen submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064184001 Steven Michael Voce CRD 4201017 AWC sl (2020-1599438063414).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064184001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Michael Voce, Respondent Former General Securities Representative CRD No. 4201017 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Michael Voce submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to