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Technical Notice

FINRA New Issue Submission Platform

July 22, 2020

As announced in the April 28, 2020 notice, “Introduction to Transparency Services Initiatives and Webpage”, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform. The new platform will be available with the same log in credentials used to access the FINRA New Form today and is expected to go live on Monday, September 28, 2020.

To find more information about the changes and to access training material, including the user guide and FAQs, please visit our Initiatives Page.

Testing:

Firms may 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:  https://newissue.ct.finra.org.  

Please note:  Users are encouraged to submit valid security data in the test environment as successful submissions will be transmitted to 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.