The introducing broker-dealer and the clearing broker-dealer must execute the FINRA Transparency Services Participation Agreement (FPA) version 1.4.īoth broker-dealers must also submit the FINRA Transparency Services Uniform Service Bureau/Executing Broker Agreement (USA) The USA allows a member firm to report trades on behalf of another FINRA member to the approved facilities on the (Attachment A), which is the second page of the USA. Updated on 12/13/17 1.3 Does an introducing broker-dealer that plans to trade and report through a clearing broker dealer need to sign a TRACE Participant Agreement? Yes. For assistance with FINRA Gateway, call (301) 590-6500. Access to the FINRA Gateway and FPA Form is provided by your firm’s Super Account Administrator (SAA). Updated on 12/13/17 1.2 How and where do I find the appropriate agreements for TRACE? The FINRA Transparency Services Participation Agreement (FPA) version 1.4 must be executed and submitted via the FINRA Gateway, ( ) The FPA is used to add a new FINRA product, delete an existing product, update the firm’s clearing relationships or update the firm’s contact information. For assistance, see or call FINRA Market Operations: 86 option 2. Section 1: Access 1.1 How do I sign up for TRACE reporting? An authorized party at your firm must sign all the appropriate agreements.
View a summary of the TRACE reporting timeliness requirements.
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