2015047758201 Morgan Stanley Smith Barney LLC CRD 149777 AWC va (2020-1587860370444).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047758201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley Smith Barney LLC, Respondent Broker-Dealer CRD No. 149777 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley Smith Barney LLC (the "firm" or "Morgan Stanley") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
SR-FINRA-2015-036
Rule Filing Status: Approved
Rule change to amend FINRA Rule 4210 to establish margin requirements for (1) To Be Announced (“TBA”) transactions, inclusive of adjustable rate mortgage (“ARM”) transactions, (2) Specified Pool Transactions, and (3) transactions in Collateralized Mortgage Obligations (“CMOs”), issued in conformity with a program of an agency or Government-Sponsored Enterprise (“GSE”), with forward settlement dates.
Information Notice – 3/26/20
Summary
As work processes adjust in response to COVID-19, firms and their associated persons should take appropriate measures to address increased vulnerability to cybersecurity attacks and to protect customer and firm data on firm and home networks, as well as devices.
2018056443101 Ameritas Investment Company, LLC CRD 14869 AWC va (2020-1587773968833).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056443101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ameritas Investment Company, LLC, Respondent Member Firm CRD No. 14869 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ameritas Investment Company, LLC ("Respondent," "Ameritas," 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.
2018057286801 Charles Henry Postel CRD 1478786 AWC sl (2020-1587773969399).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018057286801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Charles Henry Postel, Respondent
CRD No. 1478786
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Charles Henry Postel (“Postel” 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.
2019064947501 Jennifer L. Basey CRD 4730054 AWC sl (2020-1587773968822).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019064947501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jennifer L. Basey, Respondent
General Securities Representative CRD No. 4730054
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Jennifer L. Basey, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.