2014043750301 Joseph H. Pratt CRD 719416 AWC jm (2019-1572049181992).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043750301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph H. Pratt, Respondent General Securities Representative CRD No. 719416 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Joseph H. Pratt ("Pratt" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
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-2019-023
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).