2013037641201 BNP Paribas Securities Corp. CRD 15794 AWC jlg (2020-1598746770695).pdf
2019062014501 Ronald G. Richer CRD 2988381 Complaint jlg (2020-1598746770656).pdf
SR-FINRA-2020-023
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with an amendment to the CAT NMS Plan recently approved by the Commission.