SR-FINRA-2020-024
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are effectively reporting to the consolidated audit trail (“CAT”) and the CAT’s accuracy and reliability meet certain standards.
2019063293701 Michael Edward Feeley CRD 4439025 AWC sl (2020-1599783569692).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019063293701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael Edward Feeley, Respondent
Former Registered Representative CRD No. 4439025
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Michael Edward Feeley (Feeley) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
2018060262801 Barry Hallman CRD 6618538 AWC sl (2020-1599783569822).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018060262801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Barry Hallman, Respondent
Former Non-Registered Associated Person CRD No. 6618538
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barry Hallman (“Hallman”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018059950301 Christopher Reid CRD 2341418 AWC sl (2020-1599783569598).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018059950301
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Christopher Reid, Respondent
Former Registered Representative CRD No. 2341418
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christopher Reid submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeWeekend 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.