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Technical Notice

Additional CTCI Migration Production Test for TRACE and ORF

September 25, 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, October 19, 2019, from 9 a.m. to noon ET, FINRA will offer another opportunity for any client or Service Bureau wanting to test their production FIX connections and software.

Note: October 19 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.1


Test Connectivity – (212) 231-5180, Option 1; [email protected]

Test Registration (register by October 17, 2019) – (212) 231-5180, Option 1; [email protected]

Test Day Software Questions – (800) 519-4276; p/c 8584438; email.


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

  1.  Weekday production testing is "live" production. Any transactions transmitted will be considered live data.