FINRA Is Open

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

2019062450201 Yasmin Bashirova CRD 6682110 AWC jm (2020-1578187183134).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062450201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yasmin Bashirova, Respondent Investment Banking Representative CRD No. 6682110 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Yasmin Bashirova ("Respondent" or "Bashirova") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Information Notice – 12/9/19

Summary

FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday when the exchanges or banks are closed in 2020.  

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