Technical NoticeTRAQS and API Testing
November 12, 2020
Currently, FINRA TRAQS and Reference Data API users are required to download a digital certificate and present verified user id and password credentials to access the website and the API. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure.
2019064775801 Timothy Aaron Englemann CRD 4933563 AWC sl (2020-1606954800485).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064775801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Timothy Aaron Engelmann (Respondent)
Former General Securities Representative (GSR) and Former Investment Company and Variable Contracts Products Representative (IR)
CRD No. 4933563
Pursuant to FINRA Rule 9216, Respondent Timothy Aaron Engelmann submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
3241. Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer
(a) Obligations of the Registered Person
(1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied:
(A) The customer is a member of the registered person's immediate family; or
(B) Upon learning of such status, the registered person provides written notice describing the proposed status to the member wi
2019064313901 Paramveer Singh CRD 5224401 Complaint va (2020-1606695595498).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Paramveer Singh CRD No. 5224401, Respondent. Disciplinary Proceeding No. 2019064313901 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On May 30, 2019, while registered through BofA Securities, Inc. (BofA), Respondent