Technical Notice

Updated TRACE New Issue Form

October 11, 2012

Effective October 15, 2012, FINRA will update the TRACE New Issue Form. The form is available through the Firm Gateway and will include the following new feature:

If a user establishes a login and remains logged into the Firm Gateway, the Contact Information on the New Issue Form will carry forward for each subsequent entry on the form. Firms will have the ability to enter contact information at the top of the form; the fields include:

  • contact name
  • phone
  • email

This information will remain static until the user specified in the contact name field either logs out of the Firm Gateway, is timed out or physically changes the contact information on the form.

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