Technical Notice

FINRA Updates FINRA Transparency Services Uniform Executing Broker Agreement

October 23, 2017

FINRA has updated the FINRA Transparency Services Uniform Executing Broker Agreement (Agreement). The Agreement allows a member firm to report trades on behalf of another FINRA member to the relevant facility.

Firms that currently have an executed Agreement on file with FINRA do not need to repaper. Firms that need to execute a new Agreement should use the current version, which is now online at FINRA.org. 

Questions regarding this notice should be directed to FINRA Market Operations at (866) 776-0800 or by email.