Government Shutdown Information

2017053409201 Mark Elenowitz CRD 2057802 Settlement sl (2020-1598573964801).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tripoint Global Equities, LLC (CRD No. 143174), and Mark Elenowitz (CRD No. 2057802), Respondents. Disciplinary Proceeding No. 2017053409201 Hearing Officer—LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 24, 2020 INTRODUCTION Disciplinary Proceeding No. 2017053409201 was filed on May 29, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA” or “Complainant”).

SR-FINRA-2020-022

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments in SR-FINRA-2020-015 from July 31, 2020, to a date to be specified in a public notice issued by FINRA, which date will be at least two weeks from the date of the notice, and no later than December 31, 2020. 

Technical Notice

Reminder - U.S. Treasury Securities Executed to Hedge a Primary Market Transaction

July 27, 2020

This is a reminder, that beginning Monday, August 3, 2020, as described in Regulatory Notice 19-30,  members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.  

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