International Assets Advisory LLC

12/03/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056579501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: International Assets Advisory, LLC, Respondent Member Firm CRD No. 10645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, International Assets Advisory, LLC ("IAA" 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.

Reference 2017056579501data-portal.finra.orgfinra.org

01/06/2025: From May 2021 through July 2023, IAA failed to report approximately 290 transactions in Trade Reporting and Compliance Engine (TRACE)-eligible securities to TRACE. Therefore, IAA violated FINRA Rules 6730 and 2010. From May 2021 through July 2023, IAA failed to report approximately 270 municipal securities transactions to the MSRB's Real-time Transaction Reporting System (RTRS). Furthermore from July 2023 through November 2023, the firm reported approximately 40 canceled transactions to RTRS that should not have been reported. Therefore, IAA violated MSRB Rule G-14. IAA has consented to a censure and a $20,000 fine ($10,000 of which pertains to the violations of MSRB Rule G-14).

Reference 2023077021801data-portal.finra.orgfinra.org