| FINRA.org

Kit Van Riel Comment On Regulatory Notice 22-14

Orders need to be recorded daily to help prevent the fraud going on in the market currently.

Mark Maxwell Comment On Regulatory Notice 22-14

Any delays in settlement provides a wide open door for manipulation & that is exactly what we see now. Rules do not matter when there is No Enforcement!

22-00229.pdf

FINRA Updates the OTC Equities High Price Dissemination List

Eric Fischer Comment On Regulatory Notice 22-08

Please allow general investors to invest in leveraged and inverse ETFs like ProShares. I am a average retail investor who appreciates the level playing field that ProShares provides

2015047957001 T.R. Winston & Company, LLC CRD 10571 AWC gg (2022-1659140396664).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047957001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: T.R. Winston & Company, LLC (Respondent) Member Firm CRD No. 10571 Pursuant to FINRA Rule 9216, Respondent T.R. Winston & Company, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2015044227201 Barclays Capital Inc. CRD 19714 AWC gg (2022-1659140415084).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015044227201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

TRACE Depository Institution Reporting User Acceptance Testing

Subscribe to