Tick Size Pilot Market Maker Transaction Reporting User Entitlement

As described in the FINRA Tick Size Pilot Program Market Maker Transaction Reporting Specifications, firms may submit files to FINRA using the secure SFTP Protocol. Please note that firms must establish separate accounts to access and submit data to FINRA via the Production and the Test environments. Additionally, firms will not be able to use their OATS accounts to submit data to these environments. Please allow up to four days for FINRA to process each account request. The following describes the mechanisms to request accounts:

Environment IP Address/Host Environment Availability User Account Information

Production

IP Address: 75.98.61.45 (For Internet connections)

Host Name: filetransfer.finra.org

IP Address: 150.123.246.45 (For Savvis connections)

April 4, 2016

Firms must be authorized as a File Transfer Application user within the FINRA Entitlement Program prior to submitting files. To request an Entitlement Form, contact the Gateway Call Center at (301) 869-6699.

Please refer to the following link for additional information on FINRA’s Entitlement process: http://www.finra.org/industry/entitlement-information-ftpift-users

Files submitted to the production Environment prior to April 4, 2016 will not be processed.

Test

IP Address 198.202.241.37 (For Internet connections)

Host Name: filetransfer.qa.finra.org

IP Address: 150.123.247.37 (For Savvis connections)

February 22, 2016

Requests for test user accounts should be sent to dldataintakesupport@finra.org with the subject line “Request for Tick Size Pilot Test Account.”

Test user accounts cannot be used to submit data in production.

The test environment will not be supported after production environment goes live; however, the test environment can be made available for special requests from firms.

For general Tick Size Pilot program questions, please email or call 1-800-321-6273.