How to Request FINRA ADDS Web Access

The FINRA ADDS website is available to firm users free of charge. The majority of the data made available via the FINRA ADDS website is also available free of charge, with the exception of the TRACE Security Activity Reports and End-of-Day TRACE Transaction files.  Information about accessing those files is available below.

Web access is administered via the FINRA Entitlement Program—a secure way for firms to access many of FINRA's Web-based systems (e.g., FINRA Gateway, WebCRD and Report Center) with a single user ID and password.

FINRA ADDS offers trade journals for transactions submitted to TRACE, ADF, and ORF as well as Tick Size Pilot Firm Review files for Trading Centers.

To access the FINRA ADDS website, users need the following:

  • a FINRA entitlement program user ID and password;
  • one or more TRACE MPID(s) for TRACE Trade Journals and/or Equity MPID(s) for ORF or ADF Trade Journals or Tick Size Firm Review files (see the FINRA Information section of your user account in the FINRA Entitlement System); and
  • access to the appropriate Trade Journals privilege (TRACE Trade Journals, ORF Trade Journals, ORF Clearing Trade Journals, and/or ADF Trade Journals) or Tick Size Firm Review privilege under FINRA Data Delivery in the FINRA Entitlement System.

Note: Clearing firms do not need an MPID on their account to access ORF Clearing Trade Journal files.

Your firm's Super Account Administrator (SAA) can grant you access to the FINRA ADDS website. Contact your firm's SAA for assistance. If you do not know who serves as your firm's SAA, log into the FINRA Gateway, click on My Account, or call the FINRA Support Center at (800) 321-6273. If your firm does not have an SAA, please send an email to [email protected] for assistance.

SAAs who need assistance modifying users' accounts can access a Quick Reference Guide and other resources at www.finra.org/entitlement.

Please contact FINRA ADDS with any questions.

How to Request Data Delivery SFTP Access for Trade Journals

 

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TRACE Data Delivery SFTP, ORF Data Delivery SFTP, ORF Clearing Data Delivery SFTP, and ADF Data Delivery SFTP enable firms to establish an automated interface to retrieve their data via Secure File Transfer Protocol (SFTP).

Enrollment in the Data Delivery SFTP services is optional, and requires the firm to submit a FINRA ADDS Optional Services Request Form to establish a dedicated FTP user account.

The FTP user account will only be able to access data made available for SFTP access; the FTP user will not be able to log into https://myfiles.finra.org/myfiles-ui/tradeJournals. Since FTP users are intended for automated access, their passwords are not required to be reset every 120 days as is the case with non-FTP firm user account passwords.

Upon receipt of the Request Form, FINRA will enroll the submitted MPID(s) or clearing number(s) in Data Delivery SFTP or Clearing Data Delivery SFTP, create an FTP user account for the firm, and contact the submitter with the information regarding the new account. At that point, FINRA will be able to establish SFTP access for the firm.

Please see the SFTP Set-Up Process section of the

FINRA ADDS User Guide

for instructions on setting your firm up to receive data via SFTP.

Note: Firms that enroll in one or more SFTP services are assessed a monthly fee for each MPID or clearing number enrolled in each service. Firms that enroll in one or more SFTP services will also incur a set-up fee for each MPID/clearing number and facility (i.e., ADF and/or TRACE).

Fee information is available at www.finra.org/datadelivery/fees.

How to Request Data Delivery SFTP Access for Tick Size Pilot Firm Review Files

Please see the Tick Size Pilot Firm Review Files page for information about requesting SFTP access to those files.

How to Request Web or SFTP Access for the TRACE Security Activity Reports and End-of-Day TRACE Transaction Files

Firms that wish to receive their TRACE Security Activity Reports and/or End-of-Day TRACE Transaction files via SFTP must first contact the TRACE Data Services group to sign an agreement. The TRACE Data Services group may be reached by email or by phone at (888) 507-3665.