Technical Notice

Update - OTC Transparency Data API

February 03, 2020

On January 14, 2020, FINRA issued a Technical Notice regarding the 100 record limit for the FINRA API Platform, which provides access to FINRA’s OTC Transparency Data. As stated in that Notice, on January 15, 2020, FINRA temporarily increased the limit to 100,000 records to accommodate firms’ API implementations.

Beginning April 6, 2020, FINRA will enforce new API record and payload size limits of 5,000 records and 3MB respectively, whichever is reached first.

2019063011601 John Robert Barrows CRD 721515 AWC va (2020-1583108373120).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063011601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Robert Barrows, Respondent Former Registered Representative CRD No. 721515 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Robert Barrows submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017052698601 Randy T. Carpen CRD 2469877 AWC va (2020-1583108372888).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052698601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Randy T. Carpen, Respondent General Securities Representative General Securities Principal CRD No. 2469877 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Randy T. Carpen ("Carpen") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019062882001 Daniel R. Castoriano CRD 4229838 AWC va (2020-1583108372321).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062882001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel R. Castoriano, Respondent Former Registered Representative CRD No. 4229838 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daniel R. Castoriano 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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