Electronic Transaction Clearing Inc

12/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039947501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Electronic Transaction Clearing, Inc. Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Transaction Clearing, Inc, ("ETC" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

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05/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130365319-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Electronic Transaction Clearing, Inc., Respondent Broker-Dealer CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Transaction Clearing, Inc. ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

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02/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012035298101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Electronic Transaction Clearing, Inc Respondent CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Transaction Clearing, lnc ("ETC," "the firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

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06/05/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054054101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc., Respondent Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Electronic Transaction Clearing, Inc. (ETC or the Firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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03/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding Department of Enforcement, Complainant, v. Electronic Transaction Clearing, Inc., CRD No. 146122, Respondent. No. 2013037709301 Hearing Officer COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Electronic Transaction Clearing, Inc. (''ETC" or the "Firm") is a clearing and self clearing firm that primarily utilizes an electronic order execution platform. ETC' s primary business is

07/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Electronic Transaction Clearing, Inc., CRD No. 146122, Respondent. Disciplinary Proceeding No. 2013037709301 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 24, 2017 INTRODUCTION Disciplinary Proceeding No. 2013037709301 was filed on March 20, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent

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09/08/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055657501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc. (Respondent) Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. (ETC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

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08/29/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150465690-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Electronic Transaction Clearing, Inc., Respondent Broker-Dealer CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Transaction Clearing, Inc. ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2015046569001data-portal.finra.orgfinra.org

05/20/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061067510 TO: Department of Enforcement Financial Industry Regulatory Authority RE: Electronic Transaction Clearing, Inc. Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

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02/07/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043787003 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Electronic Transaction Clearing, Inc., Respondent Broker-Dealer CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Transaction Clearing, Inc. (“the firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

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01/13/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067160501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc. (Respondent) Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. (ETC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

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10/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110272938-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Electronic Transaction Clearing, Inc., Respondent Broker-Dealer CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Transaction Clearing, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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02/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110261576-03 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Electronic Transaction Clearing, Inc., Respondent Broker-Dealer CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Electronic Transaction Clearing, Inc. ("ETCC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2011026157603data-portal.finra.orgfinra.org

10/23/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20210693220011 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc. (Respondent) Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216, Respondent Electronic Transaction Clearing, Inc. (ETC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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03/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation Complainant, v. Electronic Transaction Clearing, Inc. (CRD No. 146122), Kevin Murphy (CRD No. 1645347), and David DiCenso (CRD No. 1538474), Respondents. Disciplinary Proceeding No. 20100254756-01 COMPLAINT The Department of Market Regulation alleges: Summary 1. This matter involves systemic supervisory violations committed by executing and clearing broker-dealer Electronic Transaction Clearing

02/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Electronic Transaction Clearing, Inc. (CRD No. 146122), Respondent. Disciplinary Proceeding No. 20100254756-01 Hearing Officer - MAD Date: February 19, 2016 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION A Complaint was filed in Disciplinary Proceeding No. 20100254756-01 on March 30, 2015, by the Financial Industry Regulatory Authority's ("FINRA") Department of Market Regulation

Reference 2010025475601data-portal.finra.orgdata-portal.finra.orgfinra.org