2021069143901 Marcella Luz Cofre CRD 1507819 AWC gg (2022-1655943625812).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069143901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marcella Luz Cofre (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1507819 Pursuant to FINRA Rule 9216, Respondent Marcella Luz Cofre submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021072499302 Tarik Nehmatullah CRD 6336491 AWC gg (2022-1655943625656).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072499302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tarik Nehmatullah (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6336491 Pursuant to FINRA Rule 9216, Respondent Tarik Nehmatullah submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Regulatory Notice 22-12

Summary

FINRA has adopted amendments to Rule 6730 (Transaction Reporting) to require members to append a modifier to a corporate bond trade that is part of a portfolio trade when reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE). The amendments to Rule 6730 will take effect on May 15, 2023.

The amended text of the rule is set forth in Attachment A.

Questions regarding this Notice should be directed to:

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