As part of its settlement with the Financial Industry Regulatory Authority (FINRA), StratCap Securities, LLC has agreed to pay a $15,000 fine.。

Between October 13 and October 28, 2021, StratCap conducted securities business for 12 consecutive business days, but failed to maintain minimum net capital requirements.。Accordingly, a violation of Section 15 (c) of the Securities Exchange Act of 1934 and Rule 15c3-1 promulgated thereunder, as well as FINRA Rules 4110 (b) and 2010。

For the period from September 30, 2021 to October 28, 2021, the company's minimum net capital requirement is $250,000.。On September 30 and October 20, 2021, the company received a total of $530,000 from the parent company.。On October 22, 2021, StratCap transferred $500,000 back to its parent company, which returned the $500,000 to the Company on October 27, 2021.。

The company's transfer of $500,000 on October 22, 2021 resulted in the company not having sufficient funds to maintain its minimum net capital and constituted a capital contribution to withdraw its share capital within one year, so the amount of the parent company's two contributions was not determined。

As a result, between October 13, 2021 and October 28, 2021, the company's net capital was below the minimum required net capital for 12 consecutive working days, ranging from approximately $58,000 to approximately $700,000.。

During this period of net capital shortage, the company continued to operate the securities business by acting as a wholesale distributor of private placement issues.。Accordingly, the Respondent violated Section 15 (c) of the Securities Exchange Act, Rule 15c3-1 of the Exchange Act, and FINRA Rules 4110 (b) and 2010。

In addition to the fine, the company agreed to accept a censure。