Technical Notice

TRAQS 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
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