OATS Secure Transport Upgrade

On April 16, 2018, FINRA will be upgrading Axway Secure Transport in the Production (PD) environment from the current version of 5.1 to version 5.3. These changes will be available in the Certificate Test (CT) environment on March 19, 2018. Order Sending Organizations transmitting to OATS via SFTP, FTP and IFT are strongly encouraged to test connectivity in the CT environment prior to the upgrade in Production. The chart below provides additional details of the upcoming change.

Transmission Method Details
IFT OSOs connecting to ift.finra.org (PD), iftcert.finra.org (CT) or using a Secure Transport client are required to use the browsers supported by Axway Secure Transport 5.31
SFTP OSOs connecting to oats-sftp.finra.org (PD), oatstest-sftp.finra.org (CT) or using a Secure Transport client are required to use the client software supported by Axway Secure Transport 5.32
FTP OSOs connecting to oats-ftp.finra.org (PD), oatstest-ftp.finra.org (CT) or using a Secure Transport client are required to use the client software supported by Axway Secure Transport 5.32
Web No impact

Please contact FINRA at the numbers below with any questions regarding this transition.

  Business and Technology Support Technical Support Business Support
Telephone: (800) 321-6273 (800) 321-6273
Fax: (240) 386-6499 (240) 386-4841
Email: FINRA Support Services FINRA Support Services
Web: FINRA.org FINRA.org

1. Axway Secure Transport 5.3 Supported Browsers
https://docs.axway.com/bundle/SecureTransport_536_WebClientUserGuide_all...

2. Axway Secure Transport 5.3 Supported Clients
https://docs.axway.com/bundle/SecureTransport_536_AdministratorGuide_all...