SR-FINRA-2023-008

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 1015, 9261, 9341, 9524 and 9830 and Funding Portal Rule 900 to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions.

2020065104701 Cantor Fitzgerald & Co. CRD 134 AWC gg (2023-1694910009709).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065104701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co. (Respondent) Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067139101 Instinet, LLC, CRD 7897 AWC gg (2023-1694823602369).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067139101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Instinet, LLC (Respondent) Member Firm CRD No. 7897 Pursuant to FINRA Rule 9216, Respondent Instinet, LLC 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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