Election Notice – 8/17/20

Summary

The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.

2018058501501 Clifton Hideki Roberts CRD 3201516 AWC va (2020-1600042775868).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058501501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clifton Hideki Roberts, Respondent General Securities Representative (GSR) CRD No. 3201516 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clifton Hideki Roberts submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017056561102 Network 1 Financial Securities Inc. CRD 13577 AWC sl (2020-1600042775356).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056561102 TO: Deportment of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Network 1 Financial Securities Inc., Respondent Member Firm CRD No. 13577 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Network 1 Financial Securities Inc. (“Network 1” or the “Firm”) 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 20-28

Summary

FINRA has released an updated Security Futures Risk Disclosure Statement (2020 Statement) to replace the one that was last updated in 2018, and a supplement (2020 Supplement) that reflects the disclosure updates described herein.1 The 2020 Statement incorporates all cumulative changes made to date, which include, among others, conforming changes for updates to the market-wide circuit breaker benchmark and thresholds, the higher position limits for security futures contracts and changes to the large trader reporting timeframe.2

Technical Notice

Weekend Testing Opportunity – Long Term Stock Exchange – August 15, 2020

August 14, 2020

The Long Term Stock Exchange (“LTSE”) is providing a testing opportunity this weekend in preparation for their future launch.  Firms participating in the August 15, 2020 test may send OATS data related to those orders to the OATS Certification Testing environment before the following Monday's OATS reporting deadline. OATS will then attempt to match to LTSE test data. Matching statistics for the weekend test will be provided to firms upon request and will not be published to OATS CT Website.

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