2022077443302 Sebastian G. Bongiovanni CRD 4398600 Complaint gg.pdf

The Department of Enforcement alleges: SUMMARY 1. Respondent Sebastian G. Bongiovanni failed to respond to two FINRA staff requests for information and documents made pursuant to FINRA Rule 8210 as part of FINRA staff’s examination into whether Bongiovanni misrepresented his debts in a mortgage application and structured withdrawals in his personal bank accounts. As a result, Bongiovanni violated FINRA Rules 8210 and 2010.

Shelly Bohlin

Shelly Bohlin, Senior Vice President, Data Management and Governance, guides FINRA’s enterprise-wide data strategy, which involves creating and implementing FINRA’s formal data governance program. 

Previously, Ms. Bohlin was President and Chief Operating Officer of FINRA CAT, LLC, which operates and maintains the Consolidated Audit Trail (CAT). Before leading FINRA CAT, Shelly served in various roles in Market Regulation, including overseeing the Order Audit Trail System (OATS), a CAT predecessor.

2023077775501 SG Americas Securities, LLC CRD 128351 AWC lp.pdf

From July 2017 through August 2023, SGAS inaccurately reported 166,421 transactions to FINRA’s Trade Reporting and Compliance Engine (TRACE), in violation of FINRA Rules 6730 and 2010. In addition, from July 2017 through January 2025, the firm failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with the firm’s TRACE reporting obligations, in violation of FINRA Rules 3110 and 2010. For these violations, the firm is censured and fined $275,000.

SR-FINRA-2025-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to modify the implementation schedule of amendments adopted in SR-FINRA-2024-019 with respect to fees for filing documents pursuant to the securities offering rules under Section 7 of Schedule A to the FINRA By-Laws.

Waterview Securities, Inc. Comment On Regulatory Notice 25-06

A.1 Should CABs be permitted to engage in a broader range of M&A and private placement activities than currently specified in the CAB rules? 

Answer: Probably not.

A.2 CABs may not act as an agent for secondary transactions involving unregistered securities, other than in connection with the change of control of a privately held company. Should CABs be permitted to act as placement agents in connection with other types of secondary transactions involving unregistered securities? 

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