2020065748801 Patrick Reid Murray CRD 2007449 AWC lp (2022-1658708399842).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065748801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Patrick Reid Murray (Respondent) Former General Securities Representative CRD No. 2007449 Pursuant to FINRA Rule 9216, Respondent Patrick Reid Murray submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2022-016

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 6120 (Trading Halts) to conform to recent amendments to the NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks and to make technical and clarifying changes to the rule.

Subscribe to