Technical Notice

FINRA New Issue Submission Platform

July 22, 2020

As announced in the April 28, 2020 notice, “Introduction to Transparency Services Initiatives and Webpage”, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform. The new platform will be available with the same log in credentials used to access the FINRA New Form today and is expected to go live on Monday, September 28, 2020.

2016049414401 Stephen Sloane CRD 1257601 Complaint sl (2020-1597969173077).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen Sloane CRD No. 1257601 Respondent. Disciplinary Proceeding No. 2016049414401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2014 to January 2018 (the “Relevant Period”), Stephen Sloane recommended an unsuitable investment strategy to 14 retail customers (the “Treasury customers”). Specifically, Sloane recommended that the Treasury customers engage in active, short-term trading of U.S. Treasuries with 10- and 30-year maturities,

2019062552401 Marshall Owen Isaacson CRD 1140370 AWC va (2020-1597882771141).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062552401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marshall Owen Isaacson, Respondent General Securities Representative CRD No. 1140370 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Marshall Owen Isaacson (Isaacson 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.

Regulatory Notice 20-25

Summary

FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process fee and member surcharge to straight-in requests, as well as a minimum hearing session fee to expungement-only hearings.

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