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  • Finra Electronic Trace Order Form

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TRACE Order Form (Revised December 2009) New TRACE Firm Modify Current TRACE Firm Terminate TRACE Firm Order Date Firm Name Contact Name Address City State Zip County Telephone # Fax # Email Address.

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Data Display Transaction Information Real-TimeDelayed (not available directly from FINRA)Professional User$60No ChargeEnterprise License2$7,500No ChargePersonal, Non-Commercial Use3No ChargeNo Charge

The Trade Reporting and Compliance Engine is the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities.

API Visit https://developer.finra.org/ to get started with FINRA APIs. Contact Us For more information, contact FINRA at (888) 507-3665 or visit our website at .finra.org/tracedata.

There are different tiers of service available through TRACE that are paid and nonpaid. Personal, noncommercial access is free for real-time data displays of transaction information. Access for an individual professional user or an enterprise-level license for those displays requires payments.

Each member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within 15 minutes of the Time of Execution, except as otherwise specifically provided below.

Branch Office Registration Fees Fee Per Branch OfficeDescription$75Branch Office Initial Registration Fee$75Branch Office System Processing Fee

The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232