Technical NoticeHoliday Reminder Regarding FINRA Market Transparency Reporting Systems
August 31, 2020
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 7, 2020. Affected applications include:
2019062253101 Jesse T. Kovacs CRD 5047161 AWC jlg (2020-1601079567872).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062253101
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jesse T. Kovacs, Respondent Investment Company and Variable Contracts Products Representative CRD No. 5047161 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jesse T. Kovacs submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeAdditional Weekend Testing Opportunities – MEMX and MIAX – August 29, 2020
August 26, 2020
The Members Exchange (“MEMX”) and the MIAX Pearl Equities Exchange (“MIAX”) are providing additional testing opportunities this weekend in preparation for their respective launch dates. Firms participating in the August 29, 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 MEMX and MIAX test data. Matching statistics for the weekend test will be provided to firms upon request and will not be published to OATS CT Website.
FINRA Gateway, Feature Highlight: Dynamic Reporting 101 Webinar
Dynamic Reporting is a flexible tool that gives you direct access to your organization's data so you can get immediate answers to common questions. This webinar will provide a walk-through of the features and helpful resources to reference when using Dynamic Reporting on your own.
FINRA Gateway Webinar
Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.
2015044133101 Barclays Capital Inc. CRD 19714 AWC sl (2020-1601079567599).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2015044133101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Barclays Capital Inc., Respondent Member Firm CRD No. 19714
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barclays Capital Inc. (Barclays 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.
2018059919702 Lynn Dale Cawthorne CRD 3211221 Complaint sl (2020-1601079567554).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
Department of Enforcement, Complainant,
v.
Lynn Dale Cawthorne CRD No. 3211221, Respondent.
Disciplinary Proceeding No. 2018059919702 Hearing Officer –
COMPLAINT
Department of Enforcement alleges:
SUMMARY
1. Lynn Dale Cawthorne failed to comply with FINRA’s requests for information made pursuant to FINRA Rule 8210 in June, August, September, and November 2019 in connection with an investigation of (a) his failure to disclose multiple felony charges and (b) other