Guidelines for Use of FINRA and TRACE Trademark

This document provides guidelines regarding the use of the Trace Reporting and Compliance Engine and TRACE trademarks. Any use of these trademarks must be in accordance with these guidelines.

This document is meant to provide guidelines on the use of the Trace Reporting and Compliance Engine or TRACE trademarks only and does not constitute guidelines for use of all FINRA trademarks.

Trace Reporting and Compliance Engine and TRACE are trademarks of Financial Industry Regulatory Authority, Inc. (FINRA), in the US and/or other countries. All rights reserved.

These guidelines apply to all TRACE data vendors, business partners, customers, advertising agencies, consultants, licensees and to third parties making reference to Trace Reporting and Compliance Engine and TRACE trademarks.

You must provide TRACE Data Services with copies of all proposed promotional or marketing material containing any TRACE trademark prior to dissemination.

If you have any questions concerning the information in these guidelines, please contact TRACE Data Services at (800)507-3665.

Approved Usage:

You may use the Trace Reporting and Compliance Engine or TRACE trademarks in marketing material or advertising to refer to products and services containing TRACE information and data, so long as the trademarks are used properly and in accordance with the following:

1. The first or most prominent mention of Trace Reporting and Compliance Engine or TRACE trademark must be immediately followed by "(TM)" in superscript "TM". 

2. The TRACE trademark must be properly attributed.

  • Trademark ownership is attributed in two ways, with the use of a trademark symbol (TM) after the trademark, and with a trademark legend, usually placed at the end of a document in or bottom of the advertisement. The TM must be attributed to Financial Industry Regulatory Authority, Inc. Trace Reporting and Compliance Engine and TRACE are trademarks of Financial Industry Regulatory Authority, Inc. (FINRA), in the US and/or other countries. All rights reserved.

3. The acronym TRACE must be capitalized.

4. You may not incorporate or use the Trace Reporting and Compliance Engine or TRACE trademark as part of your product or company marks or names. Your own distinctive trademark must be used to identify your company, products and services.

  • If you desire to identify your product or services as utilizing TRACE data you may say: "powered by TRACETM"
  • Source:  Financial Industry Regulatory Authority, Inc.'s TRACE™ System

Use of these trademarks not in accordance with these guidelines or of marks that are confusingly similar to the TRACE trademarks may constitute an infringement of FINRA’s rights.