Government Shutdown Information

Technical Notice

FINRA Updates the OTCBB/OTC Equities High Price Dissemination List

November 01, 2019

FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second 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 November 1, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 31, 2019 as the “Start” date and November 1, 2019 as the “End” date.

2016047616401 Alexander Capital, L.P. CRD 40077 Thomas Sullivan CRD 1145000 AWC va (2019-1575159581165).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047616401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexander Capital, L.P., Respondent Member Firm BD No. 40077 Thomas Sullivan, Respondent Financial Operations Principal CRD No. 1145000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Alexander Capital, L.P.

2016050784101 Aurora Capital LLC CRD 37924 AWC jm (2019-1575159581379).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050784101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aurora Capital LLC, Respondent Member Firm CRD No. 37924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Aurora Capital LLC ("Aurora Capital" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

2018058765701 Michael G. King, Jr. CRD 1264094 AWC va (2019-1575073175805).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058765701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael G. King, Jr., Respondent Former General Securities Representative and General Securities Principal CRD No. 1264094 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael G. King, Jr. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
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