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Technical Notice

FINRA Production Test

February 26, 2021

As previously announced  FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.   

A FINRA production User Acceptance Test (UAT) will occur on Saturday, March 6, 2021.  Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to [email protected] Please include the firm name, MPID(s) used, names of testers and web usernames, if applicable, no later than noon on Wednesday, March 3, 2021 to register for the test.

To access the production TRAQS website, users will need to be entitled to use the product, have an assigned user name (Email address) and password, answer security questions and have at least one second factor authentication method. Users will be required to enroll in MFA in the production environment in order to gain access.  Signup and usage of these methods are illustrated in the TRAQS Multi Factor Authentication User Guide. (Link). Existing, active users will be emailed automatically with signup instructions on Thursday, March 4, 2021.    

To establish a new TRAQS user name, a person with administrator access to the FINRA Order Form must complete the FINRA Order Form.  An email will then be sent to the user containing an invitation to access the NASDAQ MFA service. 

Firms who test on March 6, 2021 should be able to verify they have successfully been able to enroll for TRAQS access via MFA and assert that their TRAQS transaction functions such as trade reporting, cancels, corrections, and other relevant daily operational items and display capabilities have been met.  Firms may also test access to API Reference Data files as described below.

Function Link Notes

Setup TRAQS entitlement for MFA

https://mpp.nasdaq.com

Allows user to access their user profile and TRAQS in new infrastructure

Access TRAQS in new infrastructure  

https://beta.finratraqs.org

 

TRAQS available via MFA credentials for production parallel period

Access to API reference data in new infrastructure

 

https://download2.finratraqs.org

 

Allows user to review API files in new infrastructure; a digital certificate, login id and password will continue to be necessary for API access to the new infrastructure

The UAT will start at approximately 9 a.m. ET and end at approximately 1 p.m. ET. The conference line listed below will be open for the duration of the test. Due to a limited number of lines, firms should consider sharing the line if calling from the same location. 

Date: Saturday, March 6, 2021 Time: 9 a.m. - 1p.m. ET Dial-in: (800) 519-4276 Passcode: 8584438

Note:  FIX clients who connect, but are not actively participating in a scheduled UAT, may receive acknowledgement messages for any transactions that are sent during the testing period and are advised to ignore these messages when their production systems are brought up on Mondays following the weekend test.

Send questions regarding this notice to FINRA Product Management or call (866) 899-2107.