FINRA’s Blockchain Lab: Regulation and Innovation For The Future

In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives to learn about how the Lab is supporting and advancing FINRA's regulatory work involving crypto assets.

2020067552001 TP ICAP Global Markets America LLC fna ICAP Securities USA LLC CRD 2762 AWC vr (2023-1697674807964).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067552001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TP ICAP Global Markets Americas LLC, formerly known as ICAP Securities USA LLC (Respondent) Member Firm CRD No. 2762 Pursuant to FINRA Rule 9216, Respondent TP ICAP Global Markets Americas LLC, formerly known as ICAP Securities USA LLC (ICAP), submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2023079691201 Elba M. Nogueras CRD 4459340 AWC vr (2023-1697674807380).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079691201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elba M. Nogueras (Respondent) Former General Securities Representative CRD No. 4459340 Pursuant to FINRA Rule 9216, Respondent Elba M. Nogueras submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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