2018059500901 Robert Patton Stansberry CRD 712525 AWC sl (2020-1597623570030).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059500901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Patton Stansberry, Respondent Former General Securities Representative CRD No. 712525 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Robert Patton Stansberry, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2014041859401 Citadel Securities LLC CRD 116797 AWC sl (2020-1597623569895).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041859401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC, Respondent Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Citadel Securities LLC (“Citadel Securities” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.

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