Regulatory Notice 22-27
Summary
FINRA has adopted amendments to Rule 6730 (Transaction Reporting) to: (i) require members to report transactions in U.S. Treasury securities to FINRA’s Trade Reporting and Compliance Engine (TRACE) as soon as practicable but no later than 60 minutes from the time of execution; and (ii) 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.
2021070890101 Robert Allen Koestler CRD 7023515 AWC va (2022-1672359610524).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070890101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Allen Koestler (Respondent)
General Securities Representative
CRD No. 7023515
Pursuant to FINRA Rule 9216, Respondent Robert Allen Koestler submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022073830201 Cathie Ann Joughin CRD 1044884 AWC gg (2022-1672273209857).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073830201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Cathie Ann Joughin (Respondent)
Former General Securities Representative
CRD No. 1044884
Pursuant to FINRA Rule 9216, Respondent Cathie Ann Joughin submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.