2022075119502 William D. Williford CRD 468553 AWC gg (2024-1711844407370).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075119502
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William D. Williford (Respondent)
Former General Securities Representative
CRD No. 468553
Pursuant to FINRA Rule 9216, Respondent William D. Williford submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2020067041001 Arcview Capital, LLC CRD 306029 AWC gg (2024-1711844412488).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020067041001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Arcview Capital, LLC (Respondent)
Member Firm
CRD No. 306029
Pursuant to FINRA Rule 9216, Respondent Arcview Capital, LLC (Arcview) submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
SR-FINRA-2022-031
Rule Filing Status: Approved
Rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) to require members to (i) publish order routing reports for orders in OTC Equity Securities, and (ii) submit their order routing reports for both OTC Equity Securities and NMS Securities to FINRA for publication on the FINRA website.