Government Shutdown Information

2018057964201 Mark T. Lamkin CRD 2121510 AWC sl (2020-1588292370699).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057964201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark T. Lamkin, Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 2121510 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Mark T. Lamkin (“Lamkin” 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.

Technical Notice

Reminder - OTC Transparency Data API

March 31, 2020

On January 14, 2020, FINRA issued a Technical Notice regarding the 100 record limit for the FINRA API Platform, which provides access to FINRA’s OTC Transparency Data. As stated in that Notice, on January 15, 2020, FINRA temporarily increased the limit to 100,000 records to accommodate firms’ API implementations.

Beginning April 6, 2020, FINRA will enforce new API record and payload size limits of 5,000 records and 3MB respectively, whichever is reached first.

2019064038501 Ashley K. Martin CRD 4628096 AWC va (2020-1588205970861).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064038501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ashley K. Martin, Respondent General Securities Representative CRD No. 4628096 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ashley K. Martin ("Martin" 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.
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