FINRA Publishes Crypto Asset Communications Sweep Update
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
Regulatory Notice 24-02
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
2020066852401 TerraNova Capital Equities, Inc. CRD 45097 AWC lp (2024-1708561203800).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066852401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: TerraNova Capital Equities, Inc. (Respondent)
Member Firm
CRD No. 45097
Pursuant to FINRA Rule 9216, Respondent TerraNova Capital Equities, Inc. submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.