FINRA - AEP S TOCK R ECORD D ATA F ILE S UBMISSION Q UICK R EFERENCE G UIDE

Transcription

1 FINRA - AEP S TOCK R ECORD D ATA F ILE S UBMISSION Q UICK R EFERENCE G UIDE June 2018 Version 1.3

2 Table of Contents 1 Preparing the Files for Submission Submission Methods and File Size Limitations Compressing the File Submitting Data via Secure FTP Configure Source and Destination IP Addresses SFTP upload Submitting Data through Request Manager via Firm Gateway s Information Requests How to Access Request Manager How to View the Request in Request Manager General information on Request Manager Responding to an Information Request Item File Upload Widget Complete Submission File Naming Convention Document History... 8

3 1 Preparing the Files for Submission When the data files are ready and the firm has ensured that the XML files are valid according to their corresponding XML schemas (XSDs 1 ), the firm should submit the files to FINRA for processing. 1.1 Submission Methods and File Size Limitations FINRA accepts file submissions through a Secure FTP transmission or a secure HTTP browser upload mechanism. Secure FTP file Transmission: FINRA s process is able to consume very large files. However, we have found that SFTP clients used by the firms can be inconsistent when transferring very large files, suffering occasional file transfer timeouts. If your firm s SFTP client experiences timeouts when transferring very large files, try breaking the file up into multiple smaller files. We typically do not see these problems with files in the 500MB size range. Firms using Request Manager will not run into any file size limitations. 1.2 Compressing the File FINRA currently accepts compressed files in the following format: zip - Winzip 9.0 SR-1. Only one file type (e.g., SR, SADT, ACAT) may be included in a single zip file. A zip file cannot contain another zip file; FINRA will be unable to process compressed files with multiple levels. 1.3 Submitting Data via Secure FTP FINRA Business shall publish a Request ID within two days from the announcement made by the Regulatory Coordinator for the Exam date to the firm. The firm is given a minimum two weeks to submit the data after the request is generated. The Request IDs will be sent via an automated Request Manager system notification to the firm contacts that have established access accounts with FINRA Entitlements. A unique FINRA Request Number will identify each request for a given as-ofdate. File name formats are defined in the next section Configure Source and Destination IP Addresses In order to allow smooth and uninterrupted file transmission between Firm and FINRA, both the firm and FINRA Network teams will be required to configure the source (Firm) IP Addresses and destination (FINRA) IP Addresses into the network firewall configuration list. FINRA IP addresses in the Production environment are provided in the following table along with Port and DNS Name. Please have your firm network team configure these settings to establish Secure FTP connection. Also please contact FINRA at FINOPS_FIRM_SUPPORT@finra.org to provide FINRA with your firm s source IP Addresses from which the files will be transmitted to the FINRA Server. 1 See Appendix D - XML Schema (XSD) and Firm-Side Validation. 1

4 The following table details DNS Name, Port and FINRA IP Addresses for Secure FTP Connections. SFTP Connections:...Coming From This Source Server at the Firm......Via......Should Be Configured to be able to Connect to this FINRA Destination Server CONNECTION DETAILS FINRA Destination IP Address DNS Name Port Destination Folder Production SFTP Internet filetransfer.finra.org 22 stockrecord/in Production S/FTP SAVVIS filetransfer.finra.org 21 or 22 stockrecord/in UAT SFTP Internet filetransfer.ct.finra.org 22 stockrecord/in UAT S/FTP SAVVIS filetransfer.ct.finra.org 21 or 22 stockrecord/in SFTP upload FINRA systems recognize the files by the FINRA-provided Item ID and routes each to the appropriate Firm Requests for further processing. Please ensure that each file (i.e., compressed container or single data file) is named as follows and contains the accurate FINRA Item ID and file Sequence number. Files must be named with the convention: <ItemNumber>_<SequenceNumber>_<FileName>. <FileExtension>. Naming components are defined as follows: <ItemNumber> = FINRA provided Item Number. This is a 7-digit numeric Item ID identifying a unique exam item within a request. <SequenceNumber> = The file sequence number for that date and file type. For example: If a single data file is broken into 10 smaller files, then the sequence number represents each file in sequential order. 1,2,3,. 10. On the other hand if you provide only one single file then the sequence number will be defaulted to one (1). <FileName> = The schema file name (e.g., SR, SADT) for an XML or zipped XML file. For a text file text file this may be any free text used to identify the file. <FileExtension> = The file extension, such as.xml,.txt or.zip 2

5 Data File Full Stock Record Chart of Accounts Allocation Categories Allocation Hierarchy (Allocation Pair Off) Allocation Category Summary Allocation Pair Off Summary Security Allocation Details Schema File Name Naming Convention of Container File (if zipped) Naming Convention of Data Files SR <ItemNumber>_<SequenceNumber>_SR.zip <ItemNumber>_<SequenceNumber>_SR.xml COA <ItemNumber>_<SequenceNumber>_COA.zip <ItemNumber>_<SequenceNumber>_COA.xml ACAT <ItemNumber>_<SequenceNumber>_ACAT.zip <ItemNumber>_<SequenceNumber>_ACAT.xml APOH <ItemNumber>_<SequenceNumber>_APOH.zip <ItemNumber>_<SequenceNumber>_APOH.xml ACSM <ItemNumber>_<SequenceNumber>_ACSM.zip <ItemNumber>_<SequenceNumber>_ACSM.xml APOS <ItemNumber>_<SequenceNumber>_APOS.zip <ItemNumber>_<SequenceNumber>_APOS.xml SADT <ItemNumber>_<SequenceNumber>_SADT.zip <ItemNumber>_<SequenceNumber>_SADT.xml 2 Submitting Data through Request Manager via Firm Gateway s Information Requests 2.1 How to Access Request Manager Access to FINRA's web applications is managed through the FINRA Entitlement Program. The Entitlement Program allows your firm's Super Account Administrator (SAA) to create and entitle accounts for FINRA applications. Please contact your SAA for more information. Environment URLS To get access to the Website: Request Manager via Firm Gateway (Prod): Contact your firm Super Account Administrator (SAA). Note: User Request Manager via Firm Gateway (UAT): account must have entitlements to "Information Request Forms" and "eanalytics" 3

6 2.2 How to View the Request in Request Manager 1. The request can be viewed by clicking in the link, View Request, in the Record Request Notification You can also access Request Manager through FINRA s Firm Gateway- URL listed above 3. Once in Firm Gateway, choose the Information Requests tab from the top navigation. 4. In the Information Requests tab you can search for a Case or Request ID by clicking on the desired column heading and using the Enter Filter Text field. The Case and Request IDs are available in the Record Request Notification When your desired Case or Request ID appears at the top of the list, click on it to view the information request in Request Manager. 2.3 General information on Request Manager 1. The information is availabale at : 2. The Request Manager User Guide can be downloaded at 4

7 2.4 Responding to an Information Request Item Action Notes There are two views in which you can respond to items The Case/Request Page You can work directly from the Case/Request page to respond to requests: a. You can review FINRA guidance notes and file(s). b. You can upload attachments. c. You can send a submission. d. You can include a comment with your submission. e. You can send to FINRA. f. For a previously submitted item, you can download all attachments you sent to FINRA. The Item Details Page Details page. If you click on an item name from the Case/Request page you can view Item Details, from which you can: a. Perform all tasks outlined above for the Case/Request page. b. Also you can view all Activity for this item such as: Who at FINRA created the request. Each action your firm and FINRA have taken on the request, including comments and attachments sent. n use the next and back arrows to navigate from item to item in the Item Next and Back arrows in the Item Details Page 5

8 2.5 File Upload Widget Action The file upload widget provides information about the status of files being uploaded. Note: The user experience with the new file uploader is optimized for modern browsers. We strongly recommend users to avoid using older browsers including Internet Explorer (IE) 7, IE8, and IE9 for performance and security reasons. Action These browsers are no longer supported by Microsoft. Notes To lay the way for Request Manager to accommodate larger files in the future, our new File Upload is leveraging Amazon S3 storage and a dual Key Management System to ensure security of the files as they are uploaded. As a result, we have enhanced the File Upload Widget to share more Notes information about the status of files as they go through the upload process: Files have four major states with upload progress indicators: 1. Queued - This occurs immediately after a file was added to the list of uploads. 2. Uploading - The active stage of copying the files from the firm's machine to FINRA's storage. 3. Finishing - The stage when a file is being moved from an initial storage to a permanent one. This procedure is done to add an additional layer of security. The time that a file remains in the Finishing state will vary greatly depending on the file size. This will be much slower in older browsers. 4. Completed This confirms that the file has been saved to the permanent storage and the upload has completed successfully. Note: Only the file name is displayed in this status. Note: When uploading more than six files at a time, only six will be displayed until one or more is in the Completed state. Then, additional files that were selected for upload will be displayed. This process will continue, six at a time, until all selected files have been uploaded. 6

9 2.6 Complete Submission Action Notes To satisfy the due date and for processing to begin, firms must click the Complete Submission checkbox and submit documentation or add a comment in the Comment box. Once a Complete Submission has been sent, the status changes to Submitted. 2.7 File Naming Convention Files can be named with the convention for each file (i.e., compressed container or single data file): <FileName>_<SequenceNumber>. <FileExtension>. Naming components are defined as follows: <FileName> = The schema file name (e.g., SR, SADT) for an XML or zipped XML file. For a text file text file this may be any free text used to identify the file. <SequenceNumber> = The file sequence number for that date and file type. For example: If a single data file is broken into 10 smaller files, then the sequence number represents each file in sequential order. 1,2,3,. 10. On the other hand if you provide only one single file then the sequence number will be defaulted to one (1). <FileExtension> = The file extension, such as.xml,.txt or.zip Data File Schema File Name Naming Convention of Container File Naming Convention of Data Files (if zipped) Full Stock Record SR SR_<SequenceNumber>_.zip SR_<SequenceNumber>.xml Chart of Accounts COA COA_<SequenceNumber>.zip COA_<SequenceNumber>.xml Allocation Categories ACAT ACAT_<SequenceNumber>.zip ACAT_<SequenceNumber>.xml Allocation Hierarchy (Allocation Pair Off) APOH APOH_<SequenceNumber>.zip APOH_<SequenceNumber>.xml 7

10 Allocation Category Summary ACSM ACSM_<SequenceNumber>.zip ACSM_<SequenceNumber>.xml Allocation Pair Off Summary APOS APOS_<SequenceNumber>.zip APOS_<SequenceNumber>.xml Security Allocation Details SADT SADT_<SequenceNumber>.zip SADT_<SequenceNumber>.xml 2.8 Document History The table below provides an indication of the changes made with each version of this document. Move From. To Effective Date Changes October 30, 2017 Removed refrences to SRM as SRM was retired October 30, January 29, 2018 Added destination folder and subfolder information to the SFTP configuration section June 29, 2018 Corrected few typos in section in Connection Details table, under DNS Name column. 8