Technical NoticeUpdates to ADF User Guide & Specifications
February 26, 2020
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the FINRA/Nasdaq TRF Chicago, IEX (Investors Exchange) and LTSE (Long-Term Stock Exchange).
Each document’s Revision History illustrates these changes and impacted fields.
2019063735801 Terrence E. Bonk CRD 1011846 AWC va (2020-1585268425287).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063735801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Terrence E. Bonk, Respondent General Securities Representative CRD No. 1011846 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Terrence E. Bonk ("Bonk") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Regulatory Notice 20-07
Summary
This Notice addresses the characteristics of Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to Minors Act (UGMA) accounts (collectively referred to herein as “UTMA/UGMA Accounts”) and the responsibilities of member firms to supervise UTMA/UGMA Accounts.
Questions regarding this Notice should be directed to:
2019062775401 Boris Skorodumov CRD 6037563 AWC va (2020-1585268425765).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062775401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Boris Skorodumov, Respondent Former Registered Representative CRD No. 6037563 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Boris Skorodumov submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.