Technical Notice

Now Available - Weekly Aggregated Reports and Statistics for U.S. Treasury Securities

March 10, 2020

Background

On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting today March 10, the new TRACE Treasury aggregates are published on FINRA's website.

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FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIK PATRICK PICA (CRD No. 4829533), Respondent. Respondent is barred from associating with any FINRA member in any capacity for converting and misusing customer funds; providing false and misleading information to a customer, to a FINRA member firm, and to FINRA staff; testifying falsely in on-the-record testimony under FINRA Rule

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057708301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: John Stuart Crain, Respondent General Securities Representative CRD No. 2748785 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, John Stuart Crain (“Crain”) 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. This AWC is submitted

2017056561101 Raymond A. Thomas CRD 1675282 Complaint va (2020-1586132384878).pdf

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