Government Shutdown Information

2016051621901 Sylvester Knox CRD 1625705 AWC va (2020-1599351571504).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051621901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sylvester Knox, Respondent General Securities Representative CRD No. 1625705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sylvester Knox submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016050929001 Two Sigma Securities, LLC CRD 148960 va (2020-1599351571103).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050929001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Two Sigma Securities, LLC, Respondent Broker-Dealer CRD No. 148960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Two Sigma Securities, LLC ("Two Sigma 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 described below.

Cybersecurity: Incident Response Plans and Tabletop Exercises

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

Anti-Money Laundering: Enforcement of AML Rules and Case Studies

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

Cybersecurity: Vendor Management and Cloud Controls

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

Social Media

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

Anti-Money Laundering: Suspicious Activity Monitoring

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

Social Media

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

Anti-Money Laundering: AML Fundamentals, Rules and Guidance

FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.

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