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Printer-Friendly Last Updated: 3/31/08 TRACE Subscriber Forms

Please note: The TRACE Participation Agreement has been modified. Please use the most current version.

If you have already completed a previous version, do not complete another form. Please refer to the Comparewrite document that pertains to the version of the agreement that you signed for guidance on the applicability of the new version to your organization.

Firms choosing to change their give-up relationships must submit a modified TRACE Order Form along with Attachment B of the Participation Agreement. Firms need not resubmit the entire TRACE Participation Agreement in order to change give-up relationships, only Attachment B.

Participation Agreement

• Instructions for completing TRACE Participation Agreement and Supplements
  
  
• TRACE Participation Agreement - Version 3.1 (PDF 214 KB)
• • Comparewrite version 3 to version 3.1 of TRACE Participation Agreement (PDF 249 KB)
    
    
  • Comparewrite version 2 to version 3 of TRACE Participation Agreement (PDF 282 KB)
    
    
  • Comparewrite version 1 to version 2 of the TRACE Participation Agreement (PDF 291 KB)
    
    
• TRACE Order Form

This form is to be used when requesting initial TRACE service or to modify existing service (e.g., to add or remove web browser IDs). The form should be downloaded to your workstation, edited with your service request, and then emailed to  FINRA Market Operations. If necessary, you can fax the form to (240) 386-6225, however, emailing the completed form is preferred.

• TRACE Security Administrator Update Form (PDF 25 KB)

Underwriters - 6260 Information
 
Underwriters must submit a TRACE New Issue Form in order to comply with Rule 6260.  This form contains all the pertinent information required to submit new issues.  Underwriters may use a different format to submit new issue information (e.g. term sheets) as long as all the pertinent information as required in the new form is included in a concise manner.

Should you have any questions, please contact FINRA Operations at (866) 776-0800. 

All documents are available as Portable Document Format (PDF) files, except the current TRACE Order and Trace New Issue Forms, from the links above.  If you do not have Adobe Acrobat Reader to view PDF files, or have the need to access the old Order or New Issue Forms, please download the free plug-in.  PDF items will open in a new browser window.

Please note that the PDF version of the TRACE Order and New Issue Forms will be available for a limited time.