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, Reg T, or Short Interest, please use the Secure File Transfer Gateway at https://filetransfer.finra.org. 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.