FINRA Gateway Webinars
Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a wide variety of topics and include a demonstration.
Regulatory Notice 20-09
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.
Technical NoticeNow Available - Weekly Aggregated Reports and Statistics for U.S. Treasury Securities
March 10, 2020
Background
On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting today March 10, the new TRACE Treasury aggregates are published on FINRA's website.
2019061947501 Erik Patrick Pica CRD 4829533 OHO Decision va (2020-1586391570980).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIK PATRICK PICA (CRD No. 4829533), Respondent. Respondent is barred from associating with any FINRA member in any capacity for converting and misusing customer funds; providing false and misleading information to a customer, to a FINRA member firm, and to FINRA staff; testifying falsely in on-the-record testimony under FINRA Rule
2018057708301 John Stuart Crain CRD 2748785 AWC sl (2020-1586391571512).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2018057708301
TO: Department of Enforcement
Financial Industry Regulatory Authority (“FINRA”)
RE: John Stuart Crain, Respondent
General Securities Representative CRD No. 2748785
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, John Stuart Crain (“Crain”) 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 is submitted