2022077355301 Commonwealth Australia Securities LLC CRD 136321 AWC lp (2023-1702167598763).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077355301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Commonwealth Australia Securities LLC (Respondent) Member Firm CRD No. 136321 Pursuant to FINRA Rule 9216, Respondent Commonwealth Australia Securities LLC 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 23-19

FINRA has adopted a short-form membership application process for certain firms that must become FINRA members due to the recent amendments to Rule 15b9-1 of the Securities Exchange Act of 1934. Firms that are eligible for the short-form membership application process also must have been a member of a national securities exchange with which FINRA has had a regulatory services agreement for the 12-month period prior to August 23, 2023. FINRA has further adopted a partial waiver of the new membership application fee for those firms that apply for FINRA membership through the short-form membership application process. These rule changes became effective on October 30, 2023.

2022073332301 Parsonex Capital Markets, LLC CRD 169578 AWC lp (2023-1702081193854).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073332301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Parsonex Capital Markets, LLC (Respondent) Member Firm CRD No. 169578 Pursuant to FINRA Rule 9216, Respondent Parsonex Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to