SR-FINRA-2022-013

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to TRACE in the finest increment captured by the system used to execute the transaction, subject to an exception for members with limited trading volume in U.S. Treasury Securities; and (ii) reduce the trade reporting timeframe for transactions in U.S. Treasury Securities to generally require reporting to TRACE as soon as practicable but no later than 60 minutes.

SR-FINRA-2022-013

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 6730 to: (i) require members to report electronically executed transactions in U.S. Treasury Securities to TRACE in the finest increment captured by the system used to execute the transaction, subject to an exception for members with limited trading volume in U.S. Treasury Securities; and (ii) reduce the trade reporting timeframe for transactions in U.S. Treasury Securities to generally require reporting to TRACE as soon as practicable but no later than 60 minutes.

2021071593001 Sean C Gordon CRD 3057652 AWC lp (2022-1672532396376).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071593001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sean C. Gordon (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 3057652 Pursuant to FINRA Rule 9216, Respondent Sean Gordon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018060895801 FSC Securities Corp. CRD 7461 Royal Alliance Associates, Inc. CRD 23131 Sagepoint Financial, Inc. CRD 133763 Woodbury Financial Services, Inc. CRD 421 AWC lp (2022-1672532396835).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060895801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FSC Securities Corporation (Respondent) Member Firm CRD No. 7461 Royal Alliance Associates, Inc. (Respondent) Member Firm CRD No. 23131 SagePoint Financial, Inc. (Respondent) Member Firm CRD No. 133763 Woodbury Financial Services, Inc. (Respondent) Member Firm CRD No.
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