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Technical Notice

FINAL CTCI Migration Production Test for TRACE and ORF

January 17, 2020

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.

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, January 25, 2020 from 9 a.m. to 12 p.m. ET, FINRA will offer a final opportunity for any client or Service Bureau wanting to test their production FIX connections and software before the sunset of the CTCI protocol. This will be the last Saturday production test offered for this migration


Test Connectivity – (212) 231-5180, Option 1; [email protected]
Test Registration (register by January 23, 2020) – (212) 231-5180, Option 1; [email protected]
Test Day Software Questions – (800) 519-4276; p/c 8584438; FINRA Product Management

Note:  Any client or Service Bureau who has yet to begin their migration should follow these steps immediately to expedite the process for the conversion to the FIX protocol:

Step Task Contact

FIX service add request; Port(s)

Fill out FINRA Services Port Request Form requesting FIX service for desired products; establish ports for connections.

Nasdaq Technical Services; (212) 231-5180

Fax - (212) 231-5426

CTCI service removal request

Fill out FINRA Services Port Request Form indicating removal of CTCI service for affected products;

Nasdaq Technical Services; (212) 231-5180

Fax - (212) 231-5426

Develop FIX software messaging layer

Download FIX Specification(s) for desired FINRA products (see below); code to appropriate FIX specification(s).

FINRA Product Management; (866) 899-2107

Production Port connectivity test

Set up a time for a connection ping test.

Nasdaq Technical Services; (212) 231-5180

FIX Software testing (test region)

Establish timeframe for testing

[email protected]

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