SR-FINRA-2020-002

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 11900 (Clearance of Corporate Debt Securities) to except certain transactions in corporate debt securities.  

2017053173601 Wedbush Securities Inc. CRD 877 AWC sl (2020-1581898769080).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053173601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities Inc., Respondent Broker-Dealer CRD No. 877 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Wedbush Securities Inc. 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 on the

Technical Notice

FINRA OTC and OTC Transparency Websites Availability January 18, 2020

January 16, 2020

FINRA will be applying infrastructure upgrades to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, January 18, 2020, from approximately 10 a.m. to 1 p.m. ET.  During this time, these websites will be unavailable to users.

Please contact FINRA Support with any questions regarding this notice.

2017056769402 Royal Alliance Associates, Inc. CRD 23131 AWC va (2020-1581812370451).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056769402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Royal Alliance Associates, Inc., Respondent Broker-Dealer CRD No. 23131 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Royal Alliance Associates, Inc. (Royal Alliance 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.
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