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NWAWD-New Code Award Template

Summary

Effective June 1, 2020, members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction with an appropriate identifier. Members will have additional time to report such transactions—until the next business day during TRACE system hours. The rule text is available in the online FINRA Manual.

Questions regarding this Notice should be directed to:

2018057149701 Donald Edward Teboe CRD 4407610 AWC jm (2019-1571357987315).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald Edward Teboe, Respondent General Securities Representative CRD No. 4407610 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald Edward Teboe submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations