22-02129(3).pdf
motion to vacate
2022074468401 William Savary CRD 1069141 AWC vr (2023-1701649196658).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074468401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William Savary (Respondent)
General Securities Representative and General Securities Principal
CRD No. 1069141
Pursuant to FINRA Rule 9216, Respondent William Savary submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
21-01152(4).pdf
order to confirm
21-01152(3).pdf
motion to confirm
SR-FINRA-2023-015
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (1) amend FINRA Rules 6710 and 6750 to provide that FINRA will disseminate information on individual transactions in U.S. Treasury Securities that are On-the-Run Nominal Coupons reported to FINRA’s Trade Reporting and Compliance Engine (“TRACE”) on an end-of-day basis with specified dissemination caps for large trades, and (2) amend FINRA Rule 7730 to include U.S.
