19-02706(1).pdf
Modified
Technical NoticeHoliday Reminder Regarding ORF Market Data
April 03, 2020
In observance of Good Friday, the Over-the-Counter Reporting Facility (ORF) will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Technical NoticeHoliday Reminder Regarding TRF Market Data
April 03, 2020
In observance of Good Friday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
Technical NoticeHoliday Reminder Regarding TRACE Market Data
April 03, 2020
In observance of Good Friday, the TRACE system will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Technical NoticeUpdate - TRACE Treasuries Hedge Primary Market Transactions
April 03, 2020
As described in a December 2019 TRACE Technical Notice, beginning June 1, 2020, members were required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.
Technical NoticeFINRA Updates the OTCBB/OTC Equities High Price Dissemination List
April 03, 2020
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the fourth quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 3, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 2, 2020 as the “Start” date and April 3, 2020 as the “End” date.
2019061490801 Barry Robert Bode CRD 1203578 AWC va (2020-1588465168945).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061490801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Robert Bode, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1203578 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barry Robert Bode ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
2019063530501 Lazaros Coss CRD 6476885 AWC sl (2020-1588465169658).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019063530501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lazaros Coss, Respondent
Investment Company and Variable Contracts Product Representative CRD No. 6476885
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Lazaros Coss (“Coss”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.