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2015044231302 BNP Paribas Securities Corp. CRD 15794 AWC va (2020-1583540368845).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044231302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BNP Paribas Securities Corp., (the "firm" 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.

19-00915.pdf

NWAWD-New Code Award Template

19-01831.pdf

NWAWD-New Code Award Template

19-01978.pdf

19-00880.pdf

TRACE Monthly Volume Report for 2020

2015046182401 Ana Lucia Chavarriaga CRD 4520572 AWC va (2020-1583453971016).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046182401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ana Lucia Chavarriaga, Respondent General Securities Representative CRD No. 4520572 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ana Lucia Chavarriaga ("Respondent" or "Chavarriaga") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

7610A. Securities Transaction Credit

FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/Nasdaq Trade Reporting Facility may receive from the FINRA/Nasdaq Trade Reporting Facility transaction credits based on the transactions attributed to them.

2015045441001 Virtu Americas LLC (fka KCG Americas LLC) CRD 149823 AWC va (2020-1583453970390).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045441001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Virtu Americas LLC (f/k/a KCG Americas LLC), Respondent Member Firm CRD No. 149823 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Virtu Americas LLC (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.

2017053162102 Peter D. Monson CRD 2203309 AWC va (2020-1583453968871).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053162102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Peter D. Monson, Respondent General Securities Representative CRD No. 2203309 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Peter D. Monson 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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