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Technical Notice

New Vendor Management System for TRACE Vendors

August 08, 2019

Beginning September 16, 2019, FINRA will introduce a new Vendor Management System that will allow TRACE Vendors to view their profile and agreement information, maintain their contacts and report their monthly TRACE usage.

All vendors will be required to submit their Vendor and/or Subscriber Usage information via the new Vendor Management System. Starting on October 1, 2019, FINRA will no longer accept usage information submitted through email or the existing forms. Please review the TRACE Usage Reporting Policy for more information.

Access

Non-FINRA Broker Dealers

Access to the Vendor Management System requires an EWS login id and password which can be obtained by completing and submitting the Vendor Management Account Administrator form and the FINRA Entitlement Agreement .

FINRA Broker Dealers

Registered FINRA Broker Dealers do not need to complete additional forms but must have their firm’s Super Account Administrator (“SAA”) grant access to the Vendor Management System through EWS. Firms that are not sure who their SAA is may contact FINRA Operations at (866) 776-0800 or [email protected]

Information about TRACE Data, licensing agreements, and usage policies can be found at http://www.finra.org/industry/trace-data-licensing.

Please contact TRACE Data Services via email, or via telephone at (888) 507-3665 if there are questions regarding this notice.