Entitlement Information for FTP/IFT Users

OATS FTP/IFT Users

The following information applies only to organizations that need to be entitled as a file transfer protocol or internet file transfer (FTP/IFT) user of the Order Audit Trail System (OATS). Due to the unique environment of this application, only FINRA maintains account administration rights to create user accounts. Super Account Administrators or Account Administrators cannot create this type of user account. Therefore, any individual interested in establishing an FTP/IFT user account must complete the FTP/IFT Entitlement Form below and submit it to the FINRA Entitlement Group. Please review the form and instructions for complete information, and allow approximately four business days for an OATS FTP/IFT user account.

 

 

File Transfer Applications FTP Users

File Transfer Applications will be used by firms to send and receive files through FTP.

The following information applies only to organizations that wish to be entitled as a file transfer protocol (FTP) user of the File Transfer Applications (e.g., Shorts, Blue Sheets, REGM File Transfer, IFDF File Transfer and Rex File Transfer). Due to the unique environment of these applications, only FINRA maintains account administration rights to create user accounts. Super Account Administrators or Account Administrators cannot create this type of user account. Therefore, any individual interested in establishing an FTP user account must complete the FTP File Transfer Applications Entitlement Form below and submit it to the FINRA Entitlement Group. Please review the form and instructions for complete information, and allow approximately four business days for an FTP user account.

 

  • FTP Entitlement Form & Instructions – Use this form to request a new File Transfer Applications FTP user account, or to modify, disable or delete an existing FTP user account.

 

Last Updated: 12/10/2012