Technical Notice

FINRA Offers Two New Optional Fee-Based TRACE Data Delivery Services

June 3, 2013

As announced in Regulatory Notice 13-09, FINRA has established two optional, fee-based TRACE data delivery services to increase firms' flexibility and access to data available through FINRA's Automated Data Delivery System (FINRA ADDS). FINRA ADDS is a secure website that provides a FINRA member firm, by market participant identifier (MPID), access to the MPID's TRACE trade journal files for a specified date within the past 30 calendar days (transaction reports).

The new services—TRACE Data Delivery Plus and TRACE Data Delivery SFTP—will be available June 10, 2013.

The TRACE Data Delivery Plus service allows an MPID subscriber to download reports on demand for transaction reports and reject files to which the MPID was a party that were reported or rejected more than 30 calendar days prior to the date of the MPID's request (i.e., transaction data not available through the free FINRA ADDS service) and within the prior two calendar years. Additionally, TRACE Data Delivery Plus users can request daily delivery of the subscriber's TRACE transaction reports and reject files to the FINRA ADDS website, eliminating the need to submit file requests.

The TRACE Data Delivery SFTP service provides an MPID subscriber with an automated interface to retrieve (without sending a request) its prior day's TRACE transaction reports and reject files daily from FINRA ADDS.

How to Enroll

To enroll in the optional services, firms must submit an enrollment form. Detailed information about the fees associated with these services can be found at

Please direct any questions about this notice to Data Delivery, or contact Marie Griffin at (202) 728-8207.