Government Shutdown Information

Regulatory Notice 19-33

Summary

FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) have updated certain data elements for Electronic Blue Sheets (EBS) to reflect the SEC’s December 21, 2018 approval of MIAX Emerald and the name change of Chicago Stock Exchange to NYSE Chicago, Inc. The updates are effective immediately.

Attachments A and B to this Notice set forth the EBS record layout and reflect the modifications noted below and changes from the version previously published in Regulatory Notice 18-04.

2016052066501 Raleigh Kraft CRD 1036719 AWC va (2019-1572221991403).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052066501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raleigh Kraft, Respondent Registered Representative CRD No. 1036719 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Raleigh Kraft submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

2019062603701 Hannah Burgess CRD 7048323 AWC jm (2019-1572222000061).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062603701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hannah Burgess, Respondent Non-Registered Fingerprint Person CRD No. 7048323 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Hannah Burgess ("Burgess" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
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