SR-FINRA-2019-024

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).

2016047569601 Newbridge Securities Corporation CRD 104065 Bruce H. Jordan CRD 1223556 AWC va (2019-1572135619100).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047569601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Newbridge Securities Corporation, Respondent Member Firm CRD No. 104065 Bruce H. Jordan, Respondent General Securities Principal CRD No. 1223556 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Newbridge Securities Corporation and Bruce H.

2019063576601 Keith Wakefield CRD 3250539 AWC va (2019-1572049184732).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063576601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Keith Wakefield, Respondent General Securities Representative CRD No. 3250539 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Keith Wakefield 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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