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Technical Notice

Additional CTCI Migration Production Test for TRACE and ORF

November 07, 2019

FINRA currently supports three methods for the reporting of transactions to its TRACE and Over-The -Counter Reporting (ORF) products – FIX, Computer-to-Computer Interface (CTCI) and TRAQS. As announced in August 2018, beginning in early first quarter 2020, FINRA will no longer support the CTCI protocol (CTCI/TCP; CTCI/MQ) for both TRACE and ORF transaction reporting. Any client, including Service Bureaus, that currently utilizes CTCI and wishes to continue to deliver electronic transactions (i.e., not via TRAQS) needs to migrate to the FIX protocol by Monday, February 3, 2020.

On Saturday, November 16, 2019, from 9 a.m. to 12 p.m. ET, FINRA will offer another opportunity for any client or Service Bureau wanting to test their production FIX connections and software.

Note: November 16 was not on the current production test schedule; FINRA is offering this date as an additional testing opportunity. Formal network support for this test will be limited, and testing production FIX connections during the week is available to ensure that configurations are properly set prior to the Saturday test. Please contact Trading Services at (212) 231-5180 to inquire about weekday production connectivity testing.

Test Connectivity – (212) 231-5180, Option 1; [email protected]
Test Registration (register by November 14, 2019) – (212) 231-5180, Option 1; [email protected]
Test Day Software Questions – (800) 519-4276; p/c 8584438; FINRA Product Management

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