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fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless authentication and authorization. fileX will eventually replace the different legacy file transfer methods in use today.

The following transfer mechanisms will be available for your organization:


  • Use any standard SFTP client
  • Use standard REST clients/scripting
  • Typically, no need for IP whitelisting - simpler firewall configurations without compromising security
  • Available FINRA APIs can be integrated with your in-house services
S3 Direct
  • Upload and download using AWS Command Line Interface (CLI)
  • Cloud-to-cloud transfers between your AWS S3 buckets and FINRA’s S3 buckets will typically be much faster than other available transmission methods
  • Multiple files can be transferred in a single command



SFTP Hostname and IP Addresses

SFTP Category


Customer Test

SFTP IP / Port

SFTP Hostname ("Customer Test")


Key Features and Benefits

Feature Benefit
A single FINRA platform for batch file transfers Will not have to maintain multiple connections/configurations – with fileX, all of your file transfers with FINRA will flow through the same path
Supports SFTP, HTTPS and AWS S3 Direct Multiple transfer methods available
Leverages FINRA EWS account management Firm will have the option of creating multiple file transfer accounts with different access permissions (read only vs. submit only vs. download only) in support of separation of duties within the firm
Provides enhanced (and optional) trigger mechanisms Firms will have the option of choosing the file processing trigger mechanism – “start processing upon file upload complete” vs. “start processing upon session end”
File status tracking Firm will have the ability to retrieve the file transfer status and history
AWS-based solution If firm is already in the AWS cloud, then AWS cloud-to-cloud transfer will provide faster file transfers
Supports large file transfers No need to split large files into smaller chunks to transfer to FINRA; unlimited file sizes will be allowed (transfer times are determined by originator network capabilities)
Highly available, highly scalable cloud-based solution Virtually no downtime – you will be able to submit files at any time to FINRA


Differences: Current Process vs. fileX

  Current fileX
Host Multiple hostnames:,,, and New single hostname:
IP address Multiple IP addresses associated with the multiple hostnames New single IP address (to be announced)
Ports Multiple ports used: Port 21(FTP) and 22 Only Port 22 is supported; Port 21 no longer supported
Network Secure access via internet and via private networks Secure access via internet—no need for private network
Firewall/IP whitelisting Multiple firewall rules to support multiple IP's New single firewall rule (applicable only for SFTP, S3 Direct) to connect to the new IP
Directory structure Various directory structures Standardized directory structures - for example:
{orgld}/crd/in Drop off files here
{orgld}/crd/out Pick up response files here
Scripts Able to use SFTP scripts Able to use SFTP scripts—scripts should be updated for the above configuration changes
Host key Existing hostkey One time accept of new host key file upon first login
Available commands put, get, ls, cd, mkdir, rm put, get, ls, cd
Note that "rm" is unnecessary since fileX will move inbound files from the landing directory upon receipt and processing
File upload download APIs Secure transport proprietary REST APIs (currently used but not officially supported) Supported fileX API endpoints for all relevant file operations (note that calls/payloads will be different)
AWS S3 Direct
Cloud transfer tokens Receive and use 3 values (access key, secret key and token) before transmitting Receive and use 5 values (S3 encryption key, S3 location prefix, access key, secret key, token) before transmitting
File retention policy Various, manually enforced Automatically enforced (policies will be defined and documented)