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Web Electronic Filing Transfer (EFT) is a secure file transfer application that reduces the time and effort needed to manually submit online filings for Forms U4, U5, BR and NRF to CRD/IARD. It also allows firms to receive daily and weekly data downloads, such as accounting transactions and exam results, directly from CRD/IARD, which can then be easily uploaded by firms to their internal systems.

Web EFT will be sunset Nov. 15, 2024, and subscribers will transition to rely solely on the FINRA API platform for registration data automation. Please review this presentation for the latest updates. 

Subscribing to Web EFT

Due to the upcoming sunset of Web EFT, new subscriptions will only be considered on a case-by-case basis. Any firms interested in starting a new Web EFT subscription prior to the sunset should contact FINRA for more information.

Existing subscribers needing to add, modify or delete a service account can do so using the Web EFT Entitlement Form

Help & Resources for Web EFT

  • Schema Documentation: These documents provide the XML format for firms to follow when building batch files and consuming reports. These documents are updated periodically to reflect system changes.
  • fileX Resources
    • User Guide: Provides connectivity information for FINRA’s fileX file transfer platform.
    • Technical Notices: Announcements of upcoming changes to FINRA’s fileX file transfer platform.
  • Frequently Asked Questions: Provides answers to common questions about uploading and downloading files.
  • Past Release Notes: Change history for FINRA’s registration systems, including Web EFT.