Technical Notice

Reminder - Transparency Services Initiatives

November 23, 2020

Earlier this year, FINRA introduced its Transparency Services Infrastructure Initiatives project and created a web page detailing this effort.   Items highlighted on this web page include an infrastructure upgrade to the existing TRACE Trade Reporting system web application (TRAQS), a new web application for Issue Management, and enhanced Reference Data tools including firm access to manage their own entitlement.

Information Notice – 11/23/20

Summary

To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted to FINRA must be made electronically through FINRA Gateway.

2019061187801 Vincent A. Virga CRD 5070668 AWC sl (2020-1608769199027).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061187801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent A. Virga (Respondent) General Securities Representative CRD No. 5070668 Pursuant to FINRA Rule 9216, Respondent Vincent A. Virga submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018057226601 Kurt Jason Gunter CRD 2747789 AWC va (2020-1608509995445).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057226601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kurt Jason Gunter, Respondent General Securities Representative CRD No. 2747789 Pursuant to FINRA Rule 9216, Respondent Kurt Jason Gunter 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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