fileX
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:
SFTP
- Use any standard SFTP client
HTTPS
REST
REST
- 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
Documentation
SFTP Hostname and IP Addresses
| SFTP Category | Production | Customer Test |
|---|---|---|
| SFTP IP / Port | 52.207.197.35/22 35.171.199.181/22 | 18.209.156.254/22 34.225.135.103/22 |
| SFTP Hostname | filex.finra.org | filex.ct.finra.org ("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 | |
|---|---|---|
| SFTP | ||
| Host | Multiple hostnames: ift.finra.org, fsg.finra.org, filetransfer.finra.org, sftg-nygw.finra.org and focus-nygw.finra.org | New single hostname: filex.finra.org |
| 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 |
| HTTPS/REST | ||
| 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 |
| General | ||
| File retention policy | Various, manually enforced | Automatically enforced (policies will be defined and documented) |