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Technical Notice

FINRA New Issue Form Changes

September 08, 2020

As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020.  The new platform will be available to all current FINRA New Issue Form users with the same log in credentials used to access the New Issue Form today.

To find more information about the changes and to access demonstration videos and user guides, please visit the New Issue Management Training Materials page.

Firms may continue to test the new platform in the customer test environment with the same log in credentials used to access the FINRA New Issue form today.  The test environment is available at:

Please note:  Users are encouraged to submit valid security data in the test environment as successful submissions will be transmitted to the NTF region of TRAQS and viewable by other testing participants.

Please contact FINRA Market Operations  or call (866) 776-0800 if you have any questions regarding this notice.