2017056561101 Raymond A. Thomas CRD 1675282 Complaint va (2020-1586132384878).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Raymond A. Thomas (CRD No. 1675282), Respondent. DISCIPLINARY PROCEEDING No. 2017056561101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February 2014 and September 2017 (the "Relevant Period"), while
Regulatory Notice 20-08
Summary
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States.
Technical NoticePandemic/Business Continuity Planning for FINRA Reporting Facilities
March 09, 2020
In light of the recent outbreak of coronavirus disease (COVID-19), FINRA continues to review its pandemic and business continuity plans to ensure continuous operation of FINRA’s facilities for the reporting of OTC transactions in equity and fixed income securities (i.e., the Alternative Display Facility (ADF), the OTC Reporting Facility (ORF), the Trade Reporting and Compliance Engine (TRACE) and the FINRA Trade Reporting Facilities (TRFs), operated on FINRA’s behalf by the TRF Business Members1) (collectively, the “FINRA Facilities”).
2018059475401 Benjamin Kaz Fujihara CRD 2696451 AWC va (2020-1586132368130).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059475401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Benjamin Kaz Fujihara, Respondent General Securities Representative, Investment Company and Variable Contracts Products Representative, General Securities Sales Supervisor CRD No.