Secure File Transfer Prtcl (SFTP) Interface fr Data Intake User Guide Cntents Descriptin... 2 Steps fr firms new t batch submissin... 2 Acquiring necessary FINRA accunts... 2 SFTP Access t FINRA... 2 SFTP Accunt n FINRA s Servers... 3 Test envirnment submissin and review prcess... 3 Submitting the file t the CTE envirnment using the Secure File Transfer Gateway Uplad... 4 Uplading a Submissin... 4 Retrieving the Reprt File(s)... 6 Submitting the file t the CTE envirnment via SFTP... 7 Uplading a Submissin... 7 Retrieving the Reprt File(s)... 7 Prductin submissin and review prcess... 8 Submitting the file t the prductin envirnment... 8 Getting help... 8 Last Updated On: 08-Nv-17 SFTP Interface fr Data Intake User Guide Page 1
Descriptin Transmitting files via secure file transfer prtcl (SFTP) 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 entries t FINRA using the nline filing applicatin. Steps fr firms new t batch submissin Yu will need t cmplete the steps belw t start using Batch Submissin; as necessary, mre details n the individual steps are prvided in the fllwing sectins. 1. Read this dcument thrughly; 2. Have a preliminary cnversatin with the FINRA Data Intake Supprt Team if yu have any questins. They can be cntacted via email at DLDataIntakeSupprt@finra.rg; 3. Acquire all necessary FINRA accunts and verify cnnectivity t FINRA; 4. Select an SFTP mechanism r SFTP 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: SFTP access t FINRA SFTP accunts n FINRA s SFTP servers The same accunt can be used in the Custmer Test Envirnment (CTE) and Prductin Envirnment SFTP Access t FINRA Yu will need t determine whether r nt yur firm already has established SFTP access t FINRA s servers fr example, 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 SAAs r firm access t the system can be directed by phne t the FINRA Call Center at (800) 321-6273, Optin 3. SFTP Interface fr Data Intake User Guide Page 2
FINRA supprts HTTPS (prt 443) via a web UI accessible n web brwsers and SFTP (prt 22). The HTTPS prt is generally pen and des nt require firewall wrk. 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 SFTP supprt team at DLDataIntakeSupprt@finra.rg. SFTP Accunt n FINRA s Servers Beynd the ability t cnnect and transmit via SFTP t FINRA (described abve), yu will als need SFTP credentials i.e., an SFTP accunt. These credentials are just fr the SFTP server and are cmpletely separate and distinct frm the nrmal FINRA Enterprise Web Security (EWS) credentials that are used fr access t mst f FINRA s web-based applicatins. SFTP credentials must be requested by ne f yur firm s SAAs. If yu cannt identify yur SAA, please cntact the FINRA Call Center at (800) 321-6273, and select Optin 1 fr entitlements questins. The peratr can help yu mre easily if yu knw yur firm s CRD number. 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. SFTP Interface fr Data Intake User Guide Page 3
Submitting the file t the CTE envirnment using the Secure File Transfer Gateway Uplad User Interface (HTTPS) Please pay careful attentin t the envirnment yu are cnnected t s yu d nt accidentally uplad testing data t prductin. The same credentials wrk in bth Custmer Test (CT) and prductin. The nly difference between the testing and prductin envirnment is the URL. Uplading a Submissin via Secure File Transfer Gateway Uplad User Interface Using yur brwser, lg int Custmer Test SFTP https://filetransfer.ct.finra.rg Authenticate with a valid SFTP accunt Nte: the SFTP 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) 321-6273, Optin 3. When yu lgin, yu will see directries fr each f the filing types fr which yu have permissins. In the screengrab belw, the user has permissin t submit seven different filing types. Within each filing type, there are tw child flders: The in flder is where yu will drp yur submitted files ff fr FINRA t ingest and prcess. SFTP Interface fr Data Intake User Guide Page 4
The ut flder is where yu will find submissins reprts/results file that are generated by the FINRA ingest prcess. Navigate t the In flder fr the filing yu want t submit. In the screensht belw, we have navigated t the in flder fr the 4530 filing. Uplad files t the in directry nly. Click the Chse File buttn t select the file yu want t uplad. Click the Uplad File buttn t uplad the selected file. SFTP Interface fr Data Intake User Guide Page 5
The file will disappear frm the in flder when it is picked up fr prcessing. Files are prcessed in the rder in which they are received. Lgut f the Secure File Transfer Gateway. Retrieving the Reprt File(s) The system will return a reprt file nting any validatin errrs that ccurred during prcessing. T retrieve the utput file after the file transfer is cmplete: Lg int the Secure File Transfer Gateway. Navigate t the flder fr the filing type, and then t the ut flder. Nte: the utput files are retrieved frm the ut flder, nt the in flder where the files are drpped ff. Reprt/results files have the same name as the file yu riginally upladed with the prefix RPT_. The screensht belw shws three reprt files fr three different 4530 file submissins. If yu use the same file name each time yu submit, yur previus reprt file will be verwritten each time a new reprt file is created. Depending n the filing type, yu may have mre than ne reprt file. If that is the case, the different reprt files will have the suffix.1 (fr File Validatin Reprt) r.2 (fr Recrd Validatin Reprt). T view the reprt file, yu can duble click the file name. Or, yu can select the checkbx next t the file name and click the Dwnlad, View (HTML), r View (Text) buttns. T delete a reprt file, check the bx next t the file yu want t delete and then click the Delete buttn. As a matter f general practice, the reprt file shuld be available in the ut flder within ne hur frm the time the SFTP cnnectin is clsed, nt when the uplad is cmplete. After retrieving yur reprt file, lgut. SFTP Interface fr Data Intake User Guide Page 6
Submitting the file t the CTE envirnment via SFTP Please pay careful attentin t the envirnment yu are cnnected t s yu d nt accidentally uplad testing data t prductin. The same credentials wrk in bth CT and prductin. The nly difference between the testing and prductin envirnment is the URL. Uplading a Submissin via SFTP Using an SFTP client, lg int SFTP filetransfer.ct.finra.rg (198.202.241.37) Authenticate with a valid SFTP accunt Nte: the SFTP 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) 321-6273, Optin 3. The diagram belw illustrates FINRA s batch submissin flder structure. There are tw child flders: The in flder is where yu will drp yur submitted files ff fr FINRA t ingest and prcess. The ut flder is where yu will find submissins reprts/results file that are generated by the FINRA ingest prcess. Use the put cmmand t uplad the batch XML file t yur SFTP accunt directry n FINRA s servers. (Example: PUT xxxxx.xxx where xxxxx.xxx is the file n yur cmputer t be sent t FINRA.) Retrieving the Reprt File(s) Reprt/results files are placed back int yur SFTP directry fr certain types f filings. T retrieve the reprt utput file after the file transfer is cmplete: SFTP Interface fr Data Intake User Guide Page 7
Use the get cmmand t get yur utput reprts (Example: GET RPT_xxxxx.xml r GET RPT_xxxxx.1). The reprt file will have the same name as the file yu submitted with the prefix RPT_ prepended. Depending n the filing type, yu may have mre than ne reprt file. If that is the case, the different reprt files will have the suffix.1 (fr File Validatin Reprt) r.2 (fr Recrd Validatin Reprt). As a matter f general practice, the reprt file shuld be available in the ut flder within ne hur frm the time the SFTP cnnectin is clsed, nt when the uplad is cmplete. FINRA recmmends that firms scripts include an explicit lgut after all files have been upladed. 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. Submitting the file t the prductin envirnment Please pay careful attentin t the envirnment yu are cnnected t s yu d nt accidentally uplad testing data t prductin. The same credentials wrk in bth CT and prductin. The nly difference between the testing and prductin envirnment is the URL. 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: HTTPS server URL: https://filetransfer.finra.rg SFTP server hstname/ip address: filetransfer.finra.rg (75.98.61.45) Getting help Fr technical assistance, please cntact the FINRA Call Center at (800) 321-6273, Optin 3, and specify that yur issues are with the Batch Submissin feature fr Data Intake. The call center will rute yur query t the Technlgy grup that supprts batch submissin. Or, yu can email DLDataIntakeSupprt@finra.rg. SFTP Interface fr Data Intake User Guide Page 8