FINRA Automated Data Delivery System (FINRA ADDS)
FINRA Automated Data Delivery System® (FINRA ADDS®), formerly FINRA Data Delivery, is a secure website through which firms may request trade journals containing transactions submitted to FINRA TRAQS, as well as Tick Size Pilot Firm Review files.
FINRA offers daily trade journals for TRACE (fixed income) transactions as well as ADF and ORF (listed and over-the-counter equity) transactions. Monthly Tick Size Pilot Firm Review files are available for Trading Centers with Tick Size Appendix B.I and B.II calculations.
Request Access to FINRA ADDS web or SFTP services.
FINRA ADDS offers the following types of access:
The FINRA ADDS website allows users with the TRACE, ADF, ORF and/or Clearing Firm Trade Journals entitlement privileges to request trade journals from any date within the past 2 years via the FINRA ADDS website. There is no fee for web access.
Tick Size Pilot Firm Review Files
Entitled firm users with Trading Centers for whom FINRA is the Designated Examining Authority (DEA) can request Tick Size Pilot Firm Review Files (i.e., calculations generated pursuant to Appendix B.I and Appendix B.II of the Tick Size Pilot Plan) for months within the prior two years (once two years of data are available) via the website.
TRACE Security Activity Report (TSAR)
Subscribing users can access the TSAR monthly reports via the ADDS website. Subscribers to the report pay $750 per month, unless the subscriber is a qualifying tax-exempt organization, in which case FINRA would charge $250 per month.
End-of-Day TRACE Transaction Files
Subscribing users can download daily TRACE transaction files via the ADDS website. These files differ from the TRACE Trade Journals in that they contain all trades disseminated to the public, whereas the Trade Journals contain trades to which the requesting firm is a party (whether as the reporting, executing party or contra). These files are provided in data sets that correspond to the TRACE data feeds; i.e., ATDS for Agency data, BTDS for corporate bond trading activity, SPDS containing Securitized Products trades, and BTDS 144a and SPDS 144a, providing Rule 144a transactions within the BTDS and SPDS categories defined above. Subscribers are assessed $750 per month per data set, unless the subscriber is a qualifying tax-exempt organization, in which case FINRA would charge $250 per month per data set. Subscribers to the vendor real-time data feed(s) will not be charged a fee to receive the end-of-day TRACE Transaction file(s) for the feed(s) to which they subscribe.
Data Delivery SFTP Access for TRACE, ADF and/or ORF:
Firms that enroll in the SFTP service to receive Trade Journals for one or more products can establish an automated interface to retrieve their data via Secure File Transfer Protocol (SFTP). On a daily basis, FINRA makes the prior day’s transaction and reject files available for SFTP retrieval for all firms that subscribe to this service.
The SFTP services are fee-based; firms will be assessed a fee per MPID or Clearing Number enrolled in each service and product. Read about fees for the respective services.
Data Delivery SFTP for Tick Size Pilot Firm Review Files
SFTP access is available free of charge to Trading Centers for whom FINRA is the Designated Examining Authority. Qualifying firms that wish to retrieve their Tick Size Pilot Firm Review data can request an account to retrieve the monthly data via SFTP. There is no fee associated with this service for Tick Size Pilot Firm Review files. More information is available on the Tick Size Pilot Firm Review Files page.
Data Delivery SFTP for TRACE Security Activity Reports and/or End-of-Day TRACE Transaction Files
SFTP access is available to any firm subscribing to receive the End-of-Day TRACE Transaction files and/or TRACE Security Activity Reports. Once a firm has requested an SFTP account and the account and firm’s Gateway IP address have been established, the firm’s SFTP user can log in to retrieve the daily End-of-Day TRACE files, and/or the monthly TSAR files.