Below are agreements and forms needed to subscribe to Nasdaq trading services and secure Data and Secure Services on this site. You`ll find specific instructions for subscribe to each product or service, including the agreements and forms you need, on each product and service page. All Nasdaq agreements and forms are available in the Portable Document format (. PDF) or web format. To view and print PDF documents, you need Adobe Reader software. Download TRF Exchange Participation legal agreements and other legal agreements regarding TRF. FINRA publishes short selling commercial data in two formats: (1) Daily Short Sales Volumes Files and (2) Monthly Short Sales Transaction Files. Download user manuals and API specifications for TRF systems. Application for listing as a market maker on the Nasdaq Calendars D and E system of THE FINRA/Exchange TRF LLC agreements.
Nasdaq only provides information on any activity or maintenance of this MPID to designated agents employed by the company to which an MPID has been assigned, such as the policy of the Nasdaq. . Track service alerts, documentation changes and system updates. For all FINRA members who already have access to the Nasdaq, fill out two copies of the Nasdaq Services Agreement (if they haven`t yet done so) and fax a copy to Nasdaq Subscriber Services on 212 231 5426 and hold the other one for your registrations. Finra/Nasdaq TRF provides FINRA members with another mechanism for reporting transactions made differently from a stock exchange. It is a FINRA facility, but Nasdaq operates it for FINRA. The TRF is served by Nasdaq`s ACT technology platform. For a full description of the TRF and LLC, see NASD Rule Filing 2005-087. Nasdaq Pre-Trade Risk Management Order Form – RASH/FIX Uniform Trade Reporting Facility Bureau/Executing Broker Agreement Each FINRA Transactional Reporting Facility (TRF) provides FINRA members with a mechanism for notifying transactions made differently from a stock exchange. While each FINRA TRF is affiliated with a registered national exchange, each FINRA TRF is a FINRA facility and is subject to FINRA registration as a national securities association. Document Required for Service Bureau Subscribers (Software Description) Standard Privacy and Privacy Agreement FINRA-Transparency Uniform Execution Brokerage Contract BX Retail Member Organization Application (RMO) Form There are currently three Active Trade Reports 1 Facilities (TRFs): Nasdaq Services Agreement – Non-Member FINRA/Nasdaq Trade Reporting Facility®End Addum (for CDS Members) Subscribers (as defined in The Nasdaq Service Agreement) must use the corresponding requirement forms when Nasdaq is notified in writing, when new services are requested that terminate existing services or to modify existing services. FINRA`s REPORTING TRADE MECHANISM (TRF), managed in partnership with FINRA/NASDAQ TRF, is an automated commercial reporting and voting service operated on the Nasdaq ACT technology platform.