6121. Trading Halts Due to Extraordinary Market Volatility

Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission.

11892. Clearly Erroneous Transactions in Exchange-Listed Securities

(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting system owned or operated by FINRA or FINRA Regulation and authorized by the Commission, provided that the transaction meets th

2017053017203 Scott Patrick Kozak CRD 1272583 AWC sl (2020-1587255571428).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053017203 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott Patrick Kozak, Respondent Former General Securities Representative CRD No. 1272583 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Scott Patrick Kozak 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

2018060947101 Rodney Welsh CRD 5138609 AWC sl (2020-1587255589544).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060947101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Rodney Welsh, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5138609 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Rodney Welsh submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017053082701 Bay Crest Partners, LLC CRD 39944 AWC sl (2020-1587255569331).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053082701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Bay Crest Partners, LLC, Respondent Broker-Dealer CRD No. 39944 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Bay Crest Partners, LLC (“Bay Crest” 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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