2019061193201 Glen Webster CRD 4839854 AWC va (2020-1579393189056).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061193201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Glen Webster (Respondent) CRD No. 4839854 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeFINRA Updates the OTCBB/OTC Equities High Price Dissemination List
December 20, 2019
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 20, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 19, 2019 as the “Start” date and December 20, 2019 as the “End” date.
2017055723502 First Financial Equity Corporation CRD 16507 AWC va (2020-1579393188309).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055723502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Financial Equity Corporation, Respondent Member Firm CRD No. 16507 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, First Financial Equity Corporation ("FFEC" 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.
