Government Shutdown Information

SR-FINRA-2020-018

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 certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.

2017052466303 Frank Venturelli CRD 6403468 AWC va (2020-1595204366398).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052466303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frank Venturelli, Respondent Former General Securities Representative CRD No. 6403468 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Frank Venturelli submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060409301 Barry John Hartwyk CRD 1527583 AWC jlg (2020-1595204367647).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060409301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry John Hartwyk, Respondent General Securities Representative CRD No. 1527583 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barry John Hartwyk submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

5110. Corporate Financing Rule — Underwriting Terms and Arrangements

(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a managing underwriter or in a similar capacity must noti
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