2019061689501 Clayton Holman Wertz CRD 2931973 AWC va (2019-1570839584587).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061689501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clayton Holman Wertz, Respondent Former General Securities Representative CRD No. 2931973 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Clayton Holman Wertz submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Regulatory Notice 19-29
The effective date has been delayed to December 2, 2019
Important Note: Weekly aggregate non-ATS volume data is published on a two-week delayed basis for Tier 1 NMS stocks and a four-week delayed basis for Tier 2 NMS stocks and OTC equity securities. To align the implementation of the rule amendments for these data sets, FINRA has modified the initial publication timeframes described in footnote 8 of Regulatory Notice 19-29 as follows: