Technical Notice

FINRA Forms

June 02, 2020

FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)

Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing will incur an error. 

Firms should contact FINRA Market Operations or call 866.776.0800 with questions or for assistance in setting up new issues.  FINRA will advise when this issue has been resolved. 

 

2018059983001 Hector Ramos CRD 4172477 AWC sl (2020-1593735567107).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2018059983001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hector Ramos, Respondent Former Registered Representative CRD No. 4172477 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hector Ramos submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063301201 Mark William Menard CRD 2066529 AWC sl (2020-1593735566103).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063301201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark William Menard, Respondent General Securities Representative CRD No. 2066519 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Mark William Menard submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2016051884601 Mizuho Securities USA Inc., CRD 19647 AWC va (2020-1593649171301).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051884601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mizuho Securities USA LLC, Respondent Broker-Dealer CRD No. 19647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Mizuho Securities USA LLC ("Mizuho", 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.

2019064729701 Marie Bernadette Kincheloe CRD 6527523 AWC va (2020-1593649172739).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064729701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marie Bernadette Kincheloe, Respondent Former Registered Representative CRD No. 6527523 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Marie Bernadette Kincheloe (Kincheloe) 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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