Technical Notice

FINRA Updates the TRACE New Issue Form Filing Cabinet

September 7, 2012

Effective September 10, 2012, FINRA will update the Filing Cabinet associated with the TRACE New Issue Form. This form is available through the FINRA Firm Gateway and will now include the following new features:

  • The Filing Cabinet will display the CUSIP, Contact Name, Agency/Issuer Name and Sub-Product for each submitted New Issue. Firms can sort the columns with these fields in either ascending or descending order.
    • Note: If the CUSIP column contains “Multiple”, this indicates that the New Issue Form was submitted using one of the multiple entry forms, i.e. CMO/ABS, ELN or Church Bonds.
  • Firms will be able to search submitted filings for a specific CUSIP, Contact Name, Agency/Issuer Name or Sub-Product by entering the specific search criteria in the top portion of the screen.
  • Firms may delete any draft filing that they deem irrelevant or out of date by clicking on the filing then pressing the Delete button.
    • Note: All existing New Issue Forms in a "DRAFT" status will be deleted from the Firm Gateway as of the close of business on Friday, September 7, 2012.
  • Firms may retrieve forms submitted between April 2011 and the present date by clicking on the “Archived Filings” link.

Please contact FINRA Market Operations at (866) 776-0800 if you have questions regarding these changes.