2022075288901 International Research Securities, Inc. CRD 19532 AWC vr (2023-1685665206251).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075288901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: International Research Securities, Inc. (Respondent) Member Firm CRD No. 19532 Pursuant to FINRA Rule 9216, Respondent International Research Securities, Inc. 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 23-07

Summary

FINRA has adopted amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck as to whether a particular current or former member firm is currently designated as a Restricted Firm pursuant to FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111).1

The new rule amendments become effective on June 1, 2023.

2019061187802 Madison Avenue Securities, LLC CRD 23224 AWC lp (2023-1685578804462).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061187802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Madison Avenue Securities, LLC (Respondent) Member Firm CRD No. 23224 Pursuant to FINRA Rule 9216, Respondent Madison Avenue 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.
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