New Issue Management

The Issue Management System allows firms to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request; it allows firms to:

  • submit new issues;
  • save draft submissions;
  • make changes and updates to previously submitted issues;
  • submit new issues in bulk via a file upload; and
  • view the status of submissions.

Access

Please consult your Super Account Administrator (SAA) for access to this system.  Login using your FINRA Gateway credentials.  

Production: https://newissue.finra.org

CT: https://newissue.ct.finra.org

Demonstration Videos

View the full demonstration video here. Individual segment videos are available below.

 

Segment 1: Introduction

Segment 2: Navigating the Site

 

Segment 3: Filing Grid Functions

Segment 4: Creating a New Issue

 

Segment 5: Editing a Filing and Saving or Deleting a Draft

New Issue Management FAQ

Q: How do I access the New Issue Form?

A: The form is accessed by logging into https://newissue.finra.org or clicking on the FINRA New Issue quick link in the FINRA Gateway.

Q: What if I don’t know my Login?

A: Please contact your Super Account Administrator (SAA) or FINRA Support Center at (301) 590-6500 for further assistance with your log in.

Q: I need to access a new issue filing that was submitted before the platform change in September 2020. Where can I find legacy new issue filings?

A: You can access historical or “legacy” filings by logging into https://newissue.finra.org and clicking on the “Legacy” icon on the left hand side of the page.

Q: Can I test the new issue functionality?

A: Yes, you may test the changes at any time in the test environment at https://newissue.ct.finra.org/ using your production login credentials.

Users should be prepared to enter valid security information, as filing submissions in the test environment will be transmitted to the NTF region of TRACE/TRAQS. Note: This environment is not actively monitored. If you have questions on your submissions please contact [email protected].

Q: What if I submitted an incorrect filing?

A: If the CUSIP or sub-product entered is incorrect and the system processed your filing, please contact Market Operations at (866) 776-0800, Option 2, or [email protected]. All other fields may be edited on your original filing and resubmitted.

Q: How can I tell a filing has been updated?

A: Filings are linked by CUSIP. You can use the grid to filter by CUSIP and see all filings associated with the same CUSIP.

Q: Who can I contact if I have questions or feedback?

A: Please reach out to Market Operations at (866) 776-0800 or [email protected] with questions or feedback.

Q: Who should I contact for assistance?

A: For help with Entitlements, identifying your firm’s SAA and gaining access to the New Issue Platform, contact the FINRA Support Center at (301) 590-6500.

For Assistance with logging into, navigating or submitting the form, contact FINRA Market Operations, (866) 776-0800, Option 2.