2018060195201 Hilltop Securities Inc. CRD 6220 AWC jm (2019-1571962803677).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060195201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hilltop Securities Inc., Respondent Member Firm CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hilltop Securities Inc. ("Hilltop" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

SR-FINRA-2019-014

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 6730 (Transaction Reporting) to provide members additional time to report to the Transaction Reporting and Compliance Engine (“TRACE”) transactions in U.S. Treasury Securities executed to hedge a primary market transaction, and to adopt a new modifier to identify such transactions.
 

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