Regulatory Notice 19-32

Summary

The Securities and Exchange Commission (SEC) has approved a proposed rule change to amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) to conform to the requirements of the Fair Access to Investment Research Act of 2017 (FAIR Act).1 The rule change creates a filing exclusion under Rule 2210 for investment fund research reports that are covered by SEC rules under the FAIR Act, and eliminates the “quiet period” restrictions in Rule 2241 on publishing a report or making a public appearance concerning such funds

2017056648801 David Manor CRD 6033220 Order jm (2019-1571962804245).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Manor (CRD No. 6033220), Respondent. Disciplinary Proceeding No. 2017056648801 Hearing Officer-MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 23, 2019 INTRODUCTION Disciplinary Proceeding No. 2017056648801 was filed on April 16, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).

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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