2017054381601 Harry Seth Datys CRD 1877750 AWC va (2020-1602202767886).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054381601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harry Seth Datys, Respondent Former General Securities Representative CRD No. 1877750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harry Seth Datys submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeOTC Transparency Data Publication Delay
September 08, 2020
FINRA is experiencing an issue this morning with the display of Weekly OTC Transparency Data for the week of August 17, 2020 (Tier 1) on the OTC Transparency Data website. However, the data is available via the API. The issue is currently being investigated and a subsequent notice will be published once the data is available on the website.
If you have any questions, please contact ATS Support.
Technical NoticeTLS Encryption Standards
September 08, 2020
Beginning Wednesday, September 30, 2020, the FINRA OTCE (otce.finra.org) and OTC Transparency Data (otctransparency.finra.org) websites will support only TLS version 1.2 encryption standards. This change is being made to improve website security by enforcing TLS 1.2 or higher encryption for all data in transit.
Technical NoticeFINRA New Issue Form Changes
September 08, 2020
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available to all current FINRA New Issue Form users with the same log in credentials used to access the New Issue Form today.
2020065898801 John R. Jaramillo CRD 2659263 AWC sl (2020-1602202767712).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2020065898801
TO: Department of Enforcement
Financial Industry Regulatory Authority (“FINRA”)
RE: John R. Jaramillo, Respondent
Former General Securities Representative, Investment Company and Variable Contracts Products Representative and Investment Company Products and Variable Contracts Principal CRD No. 2659263