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Technical Notice

FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)

September 22, 2020

Update 6:15 PM, ET

FINRA has resolved the problem which was causing an error when users attempted to file a TRACE or Over the Counter Reporting Facility (ORF) form.


5:36 PM, ET

Currently, any users attempting to submit a TRACE or Over the Counter Reporting Facility (ORF) form filing will incur an error. 

Firms should contact FINRA Market Operations or call (866) 776-0800 with questions or for assistance in setting up new issues.  FINRA will advise when this issue has been resolved.