Skip to main content

Technical Notice

OTC Transparency Data

April 20, 2020

Currently, there are display issues with the OTC Transparency Data on the otctransparency.finra.org website for the weeks of March 23 and March 30, 2020. NMS Tier 1 data is being displayed on the NMS Tier 2 and OTCE tabs for both ATS and Non-ATS data sets.

Please note, all downloads and APIs are accurate for the weeks of March 23 and March 30, 2020.

FINRA is currently investigating the issue and will publish another Technical Notice once the issue has been resolved.

2018060383401 Kwasi Mensah Aggor CRD 4974222 AWC sl (2020-1590020374532).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060383401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kwasi Mensah Aggor, Respondent Former General Securities Representative CRD No. 4974222 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Kwasi Mensah Aggor submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.