On July 16, TradeStation Securities, Inc., a member firm of the Financial Industry Regulatory Authority (FINRA), submitted a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA’s Department of Enforcement. This AWC proposes a settlement for alleged rule violations concerning retail communications related to crypto assets. The acceptance of this AWC by FINRA ensures that no future actions will be brought against TradeStation Securities based on the same factual findings.


