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Technical Notice

FINRA Updates FINRA Transparency Services Uniform Executing Broker Agreement

September 04, 2020

FINRA has updated the FINRA Transparency Services Uniform Executing Broker Agreement, which allows a member firm to report trades on behalf of another member firm to a FINRA facility.

The Agreement has been renamed the “FINRA Transparency Services Uniform Reporting Agreement” and updated to define the FINRA member authorized to report on behalf on another member as the “Reporting Participant” (previously defined as the “Executing Broker”), in addition to other non-substantive edits.

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.