FINRA Regulation Filing Application Batch Submissions

Transcription

1 FINRA Regulatin Filing Applicatin Batch Submissins Cntents Descriptin... 2 Steps fr firms new t batch submissin... 2 Acquiring necessary FINRA accunts... 2 FTP Access t FINRA... 2 FTP Accunt n FINRA s Servers... 3 Test envirnment submissin and review prcess... 3 Submitting the file t the CTE envirnment... 3 Prductin submissin and review prcess... 4 Submitting the file t the prductin envirnment... 5 Getting help... 5 Last Updated On: 24-Oct-13 FINRA Regulatin Filling Applicatin Batch Submissin Page 1

2 Descriptin Transmitting files via file transfer prtcl (FTP) Batch Submissin enables FINRA member firms t submit a large vlume f filings directly t a secure server and t autmate and streamline the submissin prcess. Firms with a high vlume f filings may find that batch submissin is mre efficient than manually submitting individual pieces t FINRA using the Regulatin Filing Applicatin (RFA) web site. Steps fr firms new t batch submissin Yu will need t cmplete the steps belw t start using Batch Submissin: 1. Read this dcument thrughly. 2. Have a preliminary cnversatin with the FINRA RFA Supprt Team. They can be cntacted via at RFA Supprt. 3. Acquire all necessary FINRA accunts and verify cnnectivity t FINRA; 4. Select an FTP mechanism r FTP client sftware; 5. Uplad several test files t FINRA s Custmer Test Envirnment (CTE) and wrk ut any issues with frmatting and the uplad prcess; 6. Acquire verificatin frm FINRA that the test files were received prperly; 7. Begin uplading actual filings t FINRA s prductin servers. This dcument prvides the infrmatin necessary t cmplete each f the required steps. Acquiring necessary FINRA accunts T submit batch filings, yu need: FTP access t FINRA FTP accunts n FINRA s FTP servers ne accunt n the Custmer Test Envirnment (CTE) ne accunt n the Prductin Envirnment FTP Access t FINRA Yu will need t determine whether yur firm has already established FTP access t FINRA s servers in rder t submit ther regulatry infrmatin. Yur firm s Super Accunt Administratr (SAA) can prvide this infrmatin. Super Accunt Administratrs are individuals at yur firm wh are authrized t create and manage FINRA accunts. Questins regarding SAA s r firm access t the system can be directed by phne t the FINRA Call Center at (800) , Optin 3.. FINRA supprts bth HTTPS (prt 443) and SFTP (prt 22). HTTPS prt is generally pen. If the custmer prefers SFTP, FINRA must pen a prt n its firewall, tied t a specific surce IP address n the firm s side. If yu wuld like t use the SFTP ptin please cntact FINRA FTP supprt team at RFA Supprt. FINRA Regulatin Filling Applicatin Batch Submissin Page 2

3 FTP Accunt n FINRA s Servers Beynd the ability t cnnect and transmit via FTP t FINRA (described abve), yu will als need FTP credentials. These credentials are just fr the FTP server and are cmpletely different frm the nrmal FINRA Enterprise Web Security (EWS) credentials that are used fr access t mst f FINRA s web-based applicatins. FTP credentials must be requested by ne f yur firm s SAAs. If yu cannt identify yur SAA, please call, and select Optin 1 fr entitlements questins. The peratr can help yu mre easily if yu knw yur firm s CRD number. SAA s must request FTP accunts in bth the Custmer Test Envirnment and Prductin Envirnments Fr an FTP accunt n the Custmer Test Envirnment server, please yur request t RFA Supprt Fr an FTP accunt n the Prductin server, please read this page and fllw the instructins under Entitlement Infrmatin fr File Transfer Applicatins FTP Users A Nte abut FTP Accunts Accunts n the Prductin and CTE FTP servers are nt synchrnized. Even if yu create an accunt with the same username n bth servers, the passwrds can be different and changes t ne will nt cascade t the ther. Test envirnment submissin and review prcess These instructins refer explicitly t FINRA s Custmer Test Envirnment (CTE), which is a sandbx ffered t firms wh are develping autmated interfaces t FINRA s systems, and ppulates nly QC databases n FINRA s side. It des nt ppulate actual prductin systems. This CTE interface shuld be used by firms t test the batch submissin prcess (with help frm FINRA), befre using the prductin system. Submissins r ther actins in the CTE will have n effect n actual filings by yur firm within the prductin system. The CTE is nt cvered by an SLA, and is therefre nt guaranteed t be up at all times, particularly n weekends. Submitting the file t the CTE envirnment Lg int FTP filetransfer.qa.finra.rg ( ) Authenticate with a valid FTP accunt Nte: the FTP servers will lck ut an accunt after 3 cnsecutive failed attempts t cnnect, s verify yur username and passwrd carefully if yu experience an errr. If yu get lcked-ut please call the FINRA Call Center at (800) , Optin 3. The diagram belw illustrates FINRA s batch submissin flder structure. There are tw child flders: FINRA Regulatin Filling Applicatin Batch Submissin Page 3

4 ne is used t depsit files ( in ) a different flder is used t retrieve FINRA submissin reprts ( ut ). Use the put cmmand t put the batch XML file in yur FTP accunt directry. (Example: Put xxxxx.xxx where xxxxx.xxx is the file n yur cmputer t be sent t FINRA.) Use the get cmmand t get yur utput reprts (Example: Get RPT_xxxxx.xml r Get RPT_xxxxx.1) T retrieve the utput file after the file transfer is cmplete: Reprt files are placed back int yur FTP directry fr certain types f filings. As a matter f general practice, the utput file shuld be available in the ut flder within ne hur frm the time the FTP cnnectin is clsed, nt when the uplad is cmplete. FINRA recmmends that firms scripts include an explicit lgut after all files have been upladed. Nte: the utput files are retrieved frm the ut flder, nt the in flder where the files are drpped ff. Prductin submissin and review prcess The fllwing instructins refer explicitly t submitting files t FINRA s prductin envirnment. Submissins in the Prductin envirnment will be treated as fficial filings by yur firm. FINRA Regulatin Filling Applicatin Batch Submissin Page 4

5 Submitting the file t the prductin envirnment FINRA s prductin envirnment mirrrs the custmer test envirnment. Once yu have cmpleted all test prcesses and are ready t use the prductin system, the instructins that precede this sectin remain the same, except fr the fllwing envirnment- specific variables: FTP server details ver the internet filetransfer.finra.rg ( ) Getting help Prductin FTP accunts must be acquired, if yu d nt already have them. Fr technical assistance, please cntact the FINRA Call Center at (800) ,Optin 3, and specify that yur issues are with the Batch Submissin feature fr the Regulatry Filings Applicatin (RFA). The call center will rute yur query t the Technlgy grup that supprts batch submissin. FINRA Regulatin Filling Applicatin Batch Submissin Page 5