FINRA Is Open

Technical Notice

U.S. Treasury Securities Executed to Hedge a Primary Market Transaction

December 09, 2019

Beginning June 1, 2020, as described in Regulatory Notice 19-30 members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction [that meets the FINRA Rule 6710 definition of “List or Fixed Offering Price Transaction” or “Takedown Transaction”] with an appropriate identifier.  The Sale Condition 2 Identifier, available via the TRAQS secure web browser and the TRACE for Treasuries FIX protocol (Tag 22002) will be available for this designation. 

SR-FINRA-2019-029

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 7610A to modify the securities transaction credits that apply to FINRA members that utilize the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “FINRA/Nasdaq TRF Chicago”) (collectively, the “FINRA/Nasdaq TRFs”).

2018059491102 James D'Meo CRD 1444759 AWC va (2020-1578187183142).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059491102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James D'Meo, Respondent Former Investment Company and Variable Contracts Products CRD No. 1444759 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James D'Meo submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059907201 Alastair Jamie Barnes CRD 6355496 AWC va (2020-1578187183252).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059907201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alastair Jamie Barnes, Respondent Former General Securities Representative ("GSR") CRD No. 6355496 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Alastair Jamie Barnes submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2016050018101 Jerry M. Wells CRD 1015358 AWC jg (2020-1578187207959).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050018101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jerry M. Wells, Respondent General Securities Representative, Investment Company and Variale Contracts Products CRD No. 1015358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jerry M. Wells submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

2016048849001 PUMA Capital, LLC CRD 146744 AWC jm (2020-1578187183763).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160488490-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: PUMA Capital, LLC, Respondent Broker-Dealer CRD No. 146744 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent PUMA Capital, LLC (the "firm" or "PUMA Capital") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Subscribe to