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New Issue Management Training Materials/Timeline

Firms submit a FINRA New Issue Form in order to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request).  The Issue Management System replaces the existing FINRA New Issue Form and will allow firms to:

  • submit new issues;
  • save draft submissions;
  • make changes and updates to previously submitted issues;
  • submit new issues in bulk via a file upload; and
  • View the status of submissions.

Timeline

Phase Description

Milestone

Expected Timeline

Client Impact

Issue Management

Training Material Available

7/20/2020

Notification, training and user preparation.

Issue Management

Testing

7/20/2020

Client testing offered.

Issue Management

Production

9/28/2020

Clients live with new form interface.

Training Materials

FINRA New Issue Form

Current

Web Interface User Guide Version 1.3
Bulk Upload User Guide Version 1.2

Demonstration Videos

View the full demonstration video here. Individual segment videos are available below.

 

Segment 1: Introduction

Segment 2: Navigating the Site

 

Segment 3: Filing Grid Functions

Segment 4: Creating a New Issue

 

Segment 5: Editing a Filing and Saving or Deleting a Draft

New Issue Management FAQ

Q: How do I access the New Issue Form?

A: The form is accessed by logging into https://newissue.finra.org or clicking on the FINRA New Issue quick link in the FINRA Gateway.

Q: What if I don’t know my Login?

A: Please contact your Super Account Administrator (SAA) or FINRA Entitlement at (301) 869-6699 for further assistance with your log in.

Q: I need to access a new issue filing that was submitted before the platform change in September 2020. Where can I find legacy new issue filings?

A: You can access historical or “legacy” filings by logging into https://newissue.finra.org and clicking on the “Legacy” icon on the left hand side of the page.

Q: Can I test the new issue functionality?

A: Yes, you may test the changes at any time in the test environment at https://newissue.ct.finra.org/ using your production login credentials.

Users should be prepared to enter valid security information, as filing submissions in the test environment will be transmitted to the NTF region of TRACE/TRAQS. Note: This environment is not actively monitored. If you have questions on your submissions please contact [email protected].

Q: What if I submitted an incorrect filing?

A: If the CUSIP or sub-product entered is incorrect and the system processed your filing, please contact Market Operations at (866) 776-0800, Option 2, or [email protected]. All other fields may be edited on your original filing and resubmitted.

Q: How can I tell a filing has been updated?

A: Filings are linked by CUSIP. You can use the grid to filter by CUSIP and see all filings associated with the same CUSIP.

Q: Who can I contact if I have questions or feedback?

A: Please reach out to Market Operations at (866) 776-0800 or [email protected] with questions or feedback.

Q: Can you tell me what exactly changed on the New Issue Form in September 2020?

A: Along with a new location, look, and feel, the enhancements to the New Issue Platform included:

  • Allowing authorized users to view filing status
  • Allowing authorized users to modify and resubmit rejected filings
  • Allowing authorized users to edit submitted filings
  • Providing more flexibility with bulk upload submissions that will accommodate multiple deals under the same sub-product
  • Improved filters and search functionality on submission history
  • Ability to export filing history

Q: Will the changes to the New Issue Form submission process affect my firm’s trade reporting?

A: No. The changes to the New Issue Form submission process will have no impact on trade reporting or your firm’s use of the TRAQS website to trade report.

Q: Who should I contact for assistance?

A: For help with Entitlements, identifying your firm’s SAA and gaining access to the New Issue Platform, contact the Gateway Call Center at (301) 590-6500.

For Assistance with logging into, navigating or submitting the form, contact FINRA Market Operations, (866) 776-0800, Option 2.