Regulatory Notice 22-14

Summary

FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms that are identical or substantially similar to listed options. FINRA is proposing to require firms to report this information to FINRA on a daily basis (end-of-day) for regulatory purposes only.

Questions regarding this Notice should be directed to:

2019064729706 Alberto J. Vargas CRD 4195928 AWC gg (2022-1658017198582).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064729706 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alberto J. Vargas (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4195928 Pursuant to FINRA Rule 9216, Respondent Alberto J. Vargas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066079901 Cynthia La Rosa CRD 2459459 AWC gg (2022-1658017213684).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066079901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia La Rosa (Respondent) CRD No. 2459459 Former Associated Person Pursuant to FINRA Rule 9216, Respondent Cynthia La Rosa submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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