Technical Notice

ATS Connectivity and Update to Fixed Income Files

April 09, 2014

To facilitate connectivity for the FINRA Alternative Trading System (ATS) transparency initiative, Internet Protocol Addresses (IPs) must be provisioned for firms needing access to the ATS test and production environments. The updated

FINRA ATS Specifications for UAT Version 0.2

and

FINRA ATS Reporting Format Specification and User Guide Version 0.4

include the connectivity requirements.

Firms experiencing difficulties establishing connectivity should contact the FINRA Connectivity Support team.

In addition, files for fixed income securities are no longer required as published in FINRA Rule Filing SR-FINRA-2014-017, and the ATS Trade Reports File Format User Specification has been modified to adhere to this change.

If you have questions regarding this notice, please contact FINRA Product Management or call (866) 899-2107.