2018058057401 Imran N. Razvi CRD 3042006 AWC sl (2020-1586132369222).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058057401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Imran N. Razvi, Respondent Former Investment Company and Variable Contracts Products and General Securities Representative CRD No. 3042006 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Imran N. Razvi submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Technical Notice

FINRA Termination of CTCI Protocol for Reporting Trades to TRACE AND ORF

March 09, 2020

This is the final reminder that beginning Monday, March 16, 2020, FINRA will no longer support the reporting of transactions to its TRACE and OTC Reporting Facility (ORF) products via the CTCI protocol.

Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e. not via TRAQS) must migrate to the FIX protocol by Monday, March 16, 2020.

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