Technical Notice

FINRA OTC and OTC Transparency Websites Availability January 18, 2020

January 16, 2020

FINRA will be applying infrastructure upgrades to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, January 18, 2020, from approximately 10 a.m. to 1 p.m. ET.  During this time, these websites will be unavailable to users.

Please contact FINRA Support with any questions regarding this notice.

2017056769402 Royal Alliance Associates, Inc. CRD 23131 AWC va (2020-1581812370451).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056769402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Royal Alliance Associates, Inc., Respondent Broker-Dealer CRD No. 23131 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Royal Alliance Associates, Inc. (Royal Alliance 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.

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. 

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