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.
22-00958(2).pdf
motion to vacate
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.