Regulatory Filing Application System Retirement

Firm Delegations
RFA hosted the Firm Delegation feature used to delegate a third party, such as a service provider, to submit filings on its behalf via File Transfer Protocol (FTP). Existing firm delegations will continue to be in effect. To make changes to firm delegations in the future, please email us.

Upload Submissions
If you need to upload submissions for INSITE, Rule 4530, Extension of time Requests (Reg T, SEA Rule 15c3-3, FINRA Rule 4210), or Short Interest, please use the Secure File Transfer Gateway at See the Data Intake SFTP Interface User Guide for instructions.

Request Assistance
If you have any additional questions or concerns about the RFA retirement, please email us.