SR-FINRA-2020-016

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to September 1, 2021 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.

2015048141902 Donald G. Padilla CRD 3053711 AWC va (2020-1593735567214).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048141902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donald G. Padilla, Respondent Former General Securities Representative CRD No. 3053711 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald G. Padilla ("Padilla" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

FINRA Forms

June 02, 2020

FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)

Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing will incur an error. 

Firms should contact FINRA Market Operations or call 866.776.0800 with questions or for assistance in setting up new issues.  FINRA will advise when this issue has been resolved. 

 

2018059983001 Hector Ramos CRD 4172477 AWC sl (2020-1593735567107).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2018059983001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hector Ramos, Respondent Former Registered Representative CRD No. 4172477 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hector Ramos submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063301201 Mark William Menard CRD 2066529 AWC sl (2020-1593735566103).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063301201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark William Menard, Respondent General Securities Representative CRD No. 2066519 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Mark William Menard submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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