| FINRA.org

Form OBS Filings Due

FINRA-required filing, for clearing or carrying firms, that includes detailed information about off-balance sheet and other risk. Detailed filing required when aggregate risk exceeds exception amount.

Form OBS Filings Due

SSOI Filings Due

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

Regulatory Notice 19-37

Summary

The Securities and Exchange Commission (SEC) approved a rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to modify the rules to enhance regulatory consistency and address unintended operational impediments.¹ These changes become effective on January 1, 2020.

The text of the amended rules is set forth in Attachment A.

Questions regarding this Notice should be directed to:

SSOI Filings Due

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

SSOI Filings Due

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

2016051493704 Jorge A. Reyes CRD 4256834 Extended Hearing Panel Decision va (2020-1579306777038).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JORGE A. REYES (CRD No. 4256834), Respondent. Disciplinary Proceeding No. 2016051493704 Hearing Officer-DW EXTENDED HEARING PANEL DECISION December 17, 2019 Respondent Jorge Reyes willfully defrauded investors in connection with nearly $4 million in investments in three private placement offerings and

2018057296401 Ezri Shechter CRD 2772177 AWC va (2020-1579306777434).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057296401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ezri Shechter, Respondent Registered Representative CRD No. 2772177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ezri Shechter ("Shechter") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059134401 Kawa Saeed Foad CRD 5374361 AWC va (2020-1579306776610).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059134401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kawa Saeed Foad, Respondent Corporate Securities Representative General Securities Representative CRD No. 5374361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kawa Saeed Foad ("Foad" 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.

Subscribe to