Technical Notice

Reminder and Schedule Change: Upgrade to TLS 1.1/1.2

January 4, 2018

Effective Monday, March 12, 2018, the FINRA TRACE, ADF and ORF Web API reference data downloads (such as the Security Master and Daily List files) will no longer be accessible using the Transport Layer Security (TLS) 1.0 protocol. FINRA will disable TLS 1.0, and firms using that protocol will not be able to establish connectivity to FINRA’s secure web servers to download the files. To gain access to the FINRA API reference data downloads, firms must migrate to TLS versions 1.1 or 1.2 by March 12, 2018.

FINRA strongly suggests clients consult with their technical support teams for instruction regarding this upgrade, whether the files are accessed via a secure web browser or via a systemic program. Once FINRA disables TLS version 1.0 the reference data files will be inaccessible via TLS 1.0. In addition, please note that firms may upgrade to TLS 1.1 or 1.2 prior to the TLS version 1.0 cutoff date.

Note: This is a scheduling change. FINRA originally stated the TLS 1.0 cutoff would take place on March 5, 2018. 

Testing

FINRA will make the TLS 1.1 and 1.2 upgrade changes available in the Nasdaq Test Facility (NTF) beginning Monday, February 12, 2018. Firms wishing to gain access to NTF to test this change are invited to use NTF for a free 30-day period. Firms must contact ntfbilling@nasdaq.com via email to begin the free test period for this change. In addition, a production User Acceptance Test (UAT) will be held for this change on Saturday, February 24, 2018. FINRA will issue details regarding the UAT test as the date approaches. 

Questions regarding this notice should be sent to FINRA Product Management or call (866) 899-2107.