Craig Carnathan Comment On Regulatory Notice 22-08
I use the inverse funds to lower the risk in my long stock investments. I am retired and don't take much risk, so I need the inverse funds to lower the risk.
2018059661001 Insight Securities, Inc. CRD 5611 AWC gg (2022-1657498804044).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018059661001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Insight Securities, Inc. (Respondent)
Member Firm
CRD No. 5611
Pursuant to FINRA Rule 9216, Respondent Insight Securities, Inc., submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2016048687501 Credit Suisse Securities (USA) LLC CRD 816 AWC gg (2022-1657498802816).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2016048687501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Credit Suisse Securities (USA) LLC (Respondent)
Member Firm
CRD No. 816
Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019063432006 HSBC Securities (USA) Inc. CRD 19585 AWC gg (2022-1657498820563).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063432006
TO: Department of Enforcement
Financial Industry Regulatory Authority
RE: HSBC Securities (USA) Inc.
Member Firm
CRD No. 19585
Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. submits this Letter of
Acceptance, Waiver, and Consent for the purpose of proposing a settlement of the alleged rule
violations described below.
Regulatory Notice 22-13
Summary
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS). As amended, a member ATS may apply for the exemption for transactions between a member subscriber and a non-member entity (e.g., a bank). The amendments to Rule 6732 will take effect on October 3, 2022.
The amended rule text is available in the online FINRA Manual.