2015046601401 Citigroup Global Markets Inc. CRD 7059 AWC jlg (2020-1587341968882).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046601401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("Respondent" 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. This AWC

2019061778602 Sofia T. Gonzalez CRD 6243469 AWC jlg (2020-1587341968959).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061778602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sofia T. Gonzalez, Respondent General Securities Representative CRD No. 6243469 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Sofia T. Gonzalez (Gonzalez 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

2018059726301 Taylor C. Hoskins CRD 6277263 AWC va (2020-1587255572274).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059726301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Taylor C. Hoskins, Respondent General Securities Representative CRD No. 6277263 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Taylor C. Hoskins submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

6121. Trading Halts Due to Extraordinary Market Volatility

Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission.

11892. Clearly Erroneous Transactions in Exchange-Listed Securities

(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting system owned or operated by FINRA or FINRA Regulation and authorized by the Commission, provided that the transaction meets th
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