5131. New Issue Allocations and Distributions

(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may allocate shares of a new issue to any account in which an executive officer or dir

Information Notice – 11/11/19

Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)

Summary

To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2020 or the first quarter of 2021.1 Members are reminded that all such filings submitted to FINRA mu

5130. Restrictions on the Purchase and Sale of Initial Equity Public Offerings

(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial interest, except as otherwise permitted herein.

2019063173201 Ma Rosa Linan Abrego CRD 6122105 AWC va (2019-1575677972628).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063173201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ma Rosa Linan Abrego, Respondent Former General Securities Representative CRD No. 6122105 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ma Rosa Linan Abrego submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2015044526701 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 jm (2019-1575677971643).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044526701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018058041101 Raymond James & Associates, Inc. CRD 705 Raymond James Financial Services, Inc. CRD 6694 AWC jm (2019-1575677972646).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058041101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Member Firm CRD No. 705 Raymond James Financial Services, Inc., Respondent Member Firm CRD No. 6694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Raymond James & Associates, Inc. ("RJA") and Raymond James Financial Services, Inc. ("RJFS") submit this Letter of Acceptance, Waiver and Consent
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