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FINRA-NYSE TRF Subscriber Service Agreement RETAIL Mar2020.doc

FINRA-NYSE TRF Subscriber Service Agreement RETAIL Mar2020.doc 2026

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The document outlines the Subscriber Service Agreement for Retail Participants of the FINRA/NYSE Trade Reporting Facility (TRF). It details the application process, required documents, and responsibilities of participants in reporting over-the-counter trades. Key sections include participant representations, liability limitations, confidentiality, and termination conditions. The agreement emphasizes compliance with FINRA rules and includes provisions for clearing arrangements and audit rights.

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Click ‘Get Form’ to open the FINRA-NYSE TRF Subscriber Service Agreement in the editor.
Begin by filling out the 'Organizational Profile' section. Enter the date, SEC No., CRD No., MPID, and contact details including business phone and fax.
In the 'General Information' section, provide the name of the TRF Subscriber and business address. Ensure you include an email address for correspondence.
Select your type of organization by checking the appropriate box (Corporation, LLC, Partnership, Sole Proprietor) and indicate your business activities with TRF.
Confirm your FINRA membership status and attest to qualifying as a Retail Participant as defined in FINRA Rule 7620B(a).
Review and complete the 'Participant Application Agreement' section, ensuring all representations are accurate before signing.
Finally, save your completed document and submit it via email to crs@nyse.com as instructed in the application process checklist.

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Got questions?

We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

What products are trace eligible?

Treasuries, being U.S. government bonds, are considered TRACE-eligible securities. As part of the criteria for TRACE eligibility, securities issued or guaranteed by a U.S. government agency, including Treasuries, fall under the purview of the TRACE reporting requirements.

What is the FINRA transaction fee agreement?

The FINRA Transaction Fee Transfer Agreement applies to FINRA member firms and their respective clearing firms that choose to utilize FINRA Facilities to transfer a transaction fee on transactions reported to the Alternative Display Facility (ADF), the FINRA/NASDAQ TRF, the FINRA/NYSE TRF, or the OTC Reporting Facility

What is the difference between FINRA ADF and trf?

The difference is that the TRF is operated by exchanges, while FINRA runs the ADF. The TRF is where 99.999% of off-exchange trades are reported. These are trades on dark pools, negotiated trades, internalized trades, and so on. Any over-the-counter trades, aka, not occurring on a lit exchange, are reported to the TRF.

What is Finra TRF?

Overview Rules Notices Guidance. Each FINRA Trade Reporting Facility (TRF) provides FINRA members with a mechanism for the reporting of transactions effected otherwise than on an exchange.