Regulatory Notice 22-17
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe.
Eric Pickersgill
Eric Pickersgill, Senior Vice President and Chief Information Security Officer (CISO), oversees FINRA’s Cyber and Information Security program. Mr. Pickersgill is a technology leader and subject matter expert in information security, cloud computing, risk management and IT governance with immense experience supporting Fortune 500 companies and federal agencies.
SR-FINRA-2022-021
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt supplementary material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).
This filing has been withdrawn.
SR-FINRA-2022-022
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA Rules.
Ratan Kumar Comment On Regulatory Notice 22-08
I want to keep investing in these leveraged ProFund. Leveraged and inverse funds are important to my investment strategies.
2020065798801 Wayne von Borstel CRD 1419351 AWC gg (2022-1661646000867).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065798801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Wayne von Borstel (Respondent)
Former General Securities Representative
CRD No. 1419351
Pursuant to FINRA Rule 9216, Respondent Wayne von Borstel submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.