Technical Notice

FINAL CTCI Migration Production Test for TRACE and ORF

January 17, 2020

FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS.

Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e., not via TRAQS) needs to migrate to the FIX protocol by Monday, February 3, 2020. 

2017055192701 Jason C. LaBelle CRD 5654529 AWC sl (2020-1581725968957).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055192701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason C. LaBelle, Respondent Former General Securities Representative CRD No. 5654529 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jason C. LaBelle 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

2019061034601 Rene Moses Torres, Jr. CRD 2035498 AWC sl (2020-1581725967645).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061034601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rene Moses Torres, Jr., Respondent Operations Professional Registered Representative CRD No. 2035498 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Rene Moses Torres, Jr. (“Torres” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

Technical Notice

OTC Transparency Data API

January 14, 2020

As part of its multi-year Digital Experience Transformation, FINRA is using an API Developer Center (developer.finra.org) to support automation. The API Developer Center website includes information designed to assist clients interested in using API technology to gain access to OTC Transparency data. The available API endpoints provide a mechanism to retrieve this data using a machine-to-machine interface.

2015045325201 Citigroup Global Markets Inc. CRD 7059 AWC va (2020-1581639568074).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045325201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("Citigroup" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
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