Regulatory Filings – Secure File Transfer Environment Changes

On July 8, 2017, FINRA will upgrade the Secure Transport Server in the production (PD) environment from the current version 5.1 to version 5.2.1. Firms that transmit regulatory filings to the production SFTP servers listed below are strongly encouraged to test in the TEST environment by June 16, 2017, prior to the upgrade of the production servers.

Impacted Servers:

Environment DNS Internet IP CenturyLink IP
Production filetransfer.finra.org 75.98.61.45 150.123.246.45
Test filetransfer.qa.finra.org 198.202.241.37 150.123.247.37

The test server listed above has been upgraded to Secure Transport Server version 5.2.1 and is available for testing.

The table below provides additional details on the impact of the upcoming change for various methods of transmission.

Transmission Method Details
FTP (via CenturyLink) No known impact.

Customers using custom tools and automated scripts to transmit will have to evaluate their implementation to determine if there is any impact.
SFTP or HTTPS Organizations that connect to filetransfer.finra.org (PD) and filetransfer.qa.finra.org (Test) using a Secure Transport client may be
  • Prompted to accept a new SSL certificate when logging in for the first time after the upgrade.
  • Prompted to update the fingerprint for the RSA key sent by the SFTP server.
Customers using custom tools and automated scripts to transmit will have to evaluate their implementation to determine if there is any impact.
Web UI No impact for users accessing site using supported browsers.

Customers using custom tools and automated scripts to transmit will have to evaluate their implementation to determine if there is any impact.

Please note: the aforementioned changes are limited to the servers with the IP addresses listed above. For this notification, there are no changes to any other SFTP servers not listed above. For example, the OATS and WebEFT SFTP servers are NOT impacted by the changes described in this notification.

Please contact FINRA by phone at (800) 321-6273 or email with any questions regarding this transition.