Regulatory Notice 23-10

Summary

FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.

Questions regarding this Notice should be directed to:

2021072142202 Roger Lee Arnold CRD 5284151 OHO Decision df (2023-1688084412974).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER LEE ARNOLD (CRD No. 5284151), Respondent. Disciplinary Proceeding No. 2021072142202 Hearing Officer–RES DEFAULT DECISION May 16, 2023 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents as required by FINRA Rule 8210.

2019063686204 Rande Aaronson CRD 1758915 AWC vr (2023-1688084413111).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063686204 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rande Aaronson (Respondent) Former General Securities Principal CRD No. 1758915 Pursuant to FINRA Rule 9216, Respondent Rande Aaronson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice - 05/31/2023

Summary

The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023. 

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