Technical NoticeFINAL 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.