Technical Notice

FINRA Updates the OTCBB/OTC Equities High Price Dissemination List

October 02, 2020

FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2020. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 2, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 1, 2020 as the “Start” date and October 2, 2020 as the “End” date.

2019062377901 Kevin Shiuan-Yee Liu CRD 6593452 AWC va (2020-1604103570187).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062377901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kevin Shiuan-Yee Liu, Respondent Former Investment Banking Representative CRD No. 6593452 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kevin Shiuan-Yee Liu submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059643701 Robert Barnard CRD 5504882 AWC va (2020-1604103570314).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059643701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Barnard, Former Registered Representative CRD No. 5504882 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Barnard submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016049884201 FIS Brokerage & Securities Services LLC CRD 104162 AWC sl (2020-1604103569129).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049884201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FIS Brokerage & Securities Services LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, FIS Brokerage & Securities Services LLC 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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