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2020068668804 OFG Financial Services, Inc. CRD 23940 AWC va (2023-1673655609831).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068668804 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: OFG Financial Services, Inc. (Respondent) Member Firm CRD No. 23940 Pursuant to FINRA Rule 9216, Respondent OFG Financial Services, 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 22-29

Summary

FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized access to firm systems and encrypting or otherwise accessing sensitive firm data or customer information, then holding that hijacked data for ransom. Some ransomware attacks have become significant threats that include theft of data and bad actors’ ongoing network access.

SR-FINRA-2022-011

Rule Filing Status:  Approved

Rule change to expand reporting requirements for the Trade Reporting and Compliance Engine (TRACE) to collect information on trades in foreign sovereign debt securities that are United States (U.S.) dollar-denominated.

2020066649301 Edward D. Jones & Co., L.P. CRD No. 250 AWC gg (2023-1673569209038).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066649301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Edward D. Jones & Co., L.P. (Respondent) Member Firm CRD No. 250 Pursuant to FINRA Rule 9216, Respondent Edward D. Jones & Co., L.P. (Edward Jones) 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 22-28

Summary

FINRA has adopted amendments to the Rule 6700 series (Trade Reporting and Compliance Engine (TRACE)) to require members to report to TRACE transactions in U.S. dollar-denominated foreign sovereign debt securities. The amendments will take effect on November 6, 2023.

The amended rule text is available in the online FINRA Manual.

Questions regarding this Notice should be directed to:

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