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Technical Notice

Update – FINRA TRAQS and API Testing

January 07, 2021

This is an update to the schedule for the rollout of FINRA’s Multi Factor Authentication (MFA).  As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure for its products.

On Monday, April 19, 2021 (previously January 25, 2021), FINRA will replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website.

To access the TRAQS website, users will need to be entitled to use the product, have an assigned username (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 NTF and/or production environments as the environments become available for enrollment. 

The available second factor authentication methods include:

  • Okta Verify;
  • Google Authenticator;
  • SMS Authentication; and
  • Voice Call Authentication.

Signup and usage of these methods are illustrated in the TRAQS Multi Factor Authentication User Guide. Existing, active users will be emailed automatically when MFA is implemented. 

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. 

API:

Web-based and programmatic access to the FINRA API reference data will continue to be supported by digital certificates until the fourth quarter 2021 (previously second quarter in 2021). Although using digital certificates for access to the API reference data files will remain, users are encouraged to test API data in the new infrastructure to ensure continued access to files.

Testing via NTF:

FINRA has extended the test period to give firms more time to test the new MFA.  From now through Friday, April 16, 2021, FINRA users are encouraged to test the MFA entitlement process to gain access to TRAQS.  Users are also encouraged to test out the new FINRA system infrastructure for TRAQS and the API via the NASDAQ Testing Facility (NTF). Relevant URL links to these products are listed in the table below.

Note: FINRA will issue a separate notice in the near future for access to the production URL’s.

Function Link Notes

Setup entitlement for user access to TRAQS in the new system infrastructure

https://mpp-test.nasdaq.com

 

Allows user to access their NTF user profile and TRAQS   in new NTF system infrastructure via Multi Factor Authentication

Access TRAQS in new NTF system infrastructure

https://beta-ntf.finratraqs.org

 

TRAQS available via Multi Factor Authentication credentials

Access to API reference data in new NTF system infrastructure

https://download-ntf2.finratraqs.org

 

Allows user to review API files in new system infrastructure;  

Note – Until Q4 2021 digital certificates, login id and passwords will continue to be necessary for API access to the new system infrastructure. API access using MFA will be introduced in a future release to be announced.

Access to TRAQS in current NTF system infrastructure

https://www-ntf.finratraqs.org

 

TRAQS available in current system infrastructure; a digital certificate, login id and password are necessary to access the current system infrastructure

Access to API reference data in current NTF system infrastructure

https://download-ntf.finratraqs.org

 

Allows user to review API files in current system infrastructure; a digital certificate, login id and password are necessary to access the current system infrastructure

Users may test free of charge in NTF for 30 calendar days. Users must notify [email protected] at the commencement of testing. Once a user informs the NASDAQ test team, the testing free period will continue uninterrupted for 30 calendar days. After the 30-day period ends, normal NTF fees will apply for connecting and testing. Questions regarding NTF fees can be directed to NASDAQ Technical Services at (212) 231-5180.

Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.