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Technical Notice

FINRA New Issue Form System Availability

September 22, 2020

The FINRA New Issue Form will be unavailable from 6:30 p.m. ET, Friday, September 25, 2020, until midnight ET Monday, September 28, 2020, while updates are made for the platform infrastructure conversion.

As FINRA has announced, the current FINRA New Issue Form is being retired and replaced with an updated submission platform. Beginning Monday, September 28, 2020, users will access the updated FINRA New Issue Form by going to https://newissue.finra.org or via the FINRA New Issue quick link in the FINRA Gateway. The new platform will be available to all current FINRA New Issue Form users with the same log in credentials used to access the legacy New Issue Form. 

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

Firms can test the new platform in the customer test environment with the same log in credentials used to access the legacy form. The test environment is available at: https://newissue.ct.finra.org

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.

NOTE: All forms in DRAFT status up until Friday, September 25, 2020, will be deleted after 6:30 p.m. ET on that day, prior to the new release configuration being deployed.

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