Entitlement Information for FTP/IFT Users

OATS FTP/IFT Users for FINRA-registered Firms


The following information applies only to FINRA-registered firms that need to be entitled as a file transfer protocol/internet file transfer (FTP/IFT) user of the Order Audit Trail System (OATS). Due to the unique environment of this application, FINRA solely maintains account administration rights to create user accounts. Super Account Administrators or Account Administrators cannot create this type of user account.


Users that need FTP/IFT access to OATS must complete and submit the OATS FTP/IFT Entitlement Form to the FINRA Entitlement Group. The form is not available on the website and must be requested by an Authorized Signatory of your organization by contacting the Gateway Call Center.


An Authorized Signatory is defined as  the Chief Compliance Officer (CCO) or authorized officer (or other authorized person) listed on Schedule A of the Organization’s Form BD.


The FINRA Entitlement Group confirms the identity of the requester and pre-populates the form with firm information. FINRA sends the form only to the contact information on file for the Authorized Signatory.


When the completed form is returned to FINRA, the pre-populated information on the form must match the information provided by FINRA. FINRA assigns a unique identifier to each request and therefore, a firm cannot re-use the form for subsequent requests.


Please review the  instructions for more information, and allow approximately four business days for an OATS FTP/IFT user account to be processed.


For questions or to request an Entitlement Form, contact the Gateway Call Center at (301) 869-6699.


File Transfer Applications FTP Users and Downloads


File Transfer Applications (e.g., Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and Rex File Transfer, etc.) are used by organizations to send and receive files through FTP.


The CRD XML Web Service Pre-registration Download FTP account is used by FINRA-registered firms to download residential and employment history information for individuals for whom they intend to file U4 Initial/Relicense filings.


Note: A FINRA-registered firm must have an active subscription to Web EFT to gain access to this Entitlement privilege.

 

Due to the unique environment of these applications, FINRA solely maintains account administration rights to create user accounts. Super Account Administrators or Account Administrators cannot create this type of user account.


The FTP File Transfer Applications and Downloads Entitlement Form is not available on the website and must be requested by an Authorized Signatory of your organization by contacting the Gateway Call Center.


An Authorized Signatory is defined as the Chief Compliance Officer (CCO) or authorized officer (or other authorized person) listed on Schedule A of the Organization’s Form BD.


The FINRA Entitlement Group confirms the identity of the requester and pre-populates the form with firm information. FINRA sends the form only to the contact information on file for the Authorized Signatory.


When the completed form is returned to FINRA, the pre-populated information on the form must match the unique identifier that FINRA provided. FINRA assigns a unique identifier to each request and therefore, a firm cannot re-use the form for subsequent requests.


Please review the instructions for complete information, and allow approximately four business days for an FTP user account to be processed.

 

For questions or to request an Entitlement Form, contact the Gateway Call Center at (301) 869-6699.