OATS Production and Certificate Test Environment Changes

In support of the OATS for NMS initiative, FINRA will be making changes to the Production (PD) and Certificate Test (CT) environments. These changes include:

    There will be no impact to Order Sending Organizations (OSOs) that connect to the OATS environment using the DNS name.  FINRA no longer supports the use of an IP address to connect to OATS. OSOs that currently use an IP address to connect to OATS must contact OATS Technical Support no later than August 1, 2011 to work with FINRA technology to complete the necessary changes.

    The chart below provides additional details on the upcoming changes.

    • Migration of both the CT and PD environments to a new data center. This migration will establish an enhanced operation capability enabling FINRA to move OATS operations between two data centers in the event of catastrophic failure or a disaster in the primary location.
    • Support of two CT environments, representing distinct code bases, during the OATS for NMS test period from August 22, 2011 – September 30, 2011

    Effective: August 22, 2011

    OATS for NMS available in the CT environment.

    To test changes related to the OATS for NMS initiative, OSOs must connect to OATS using the following addresses:

    • Web via Internet: https://firmstest.finra.org (select OATS tab)
    • FTP-SAVVIS: oatstest-ftp.finra.org
    • IFT: iftcert.finra.org
    • SFTP: oatstest-sftp.finra.org

    To test changes related to the current Production Code (related to the November 8, 2010 Technical Specifications), OSOs must connect to OATS using the following addresses:

    • Web via Internet: https://firmstest.finra.org (select Legacy OATS tab)
    • FTP-SAVVIS: oatsct-ftp.finra.org
    • IFT: oats-ct.finra.org
    • SFTP: oatsct-sftp.finra.org

    Any OSO using an IP address to connect to the OATS CT environment must contact OATS Technical Support by August 1, 2011.

    Effective: October 17, 2011

    OATS for NMS Production go-live. To connect to the PD environment, firms may continue to connect using the following addresses:

    • Web via Internet: https://gateway.finra.org
    • FTP-SAVVIS: oats-ftp.finra.org
    • IFT: ift.finra.org
    • SFTP: oats-sftp.finra.org

    To connect to the CT environment, firms may continue to connect using the following addresses:

    • Web via Internet: https://firmstest.finra.org (There will only be a single OATS tab)
    • FTP-SAVVIS: oatstest-ftp.finra.org
    • IFT: iftcert.finra.org
    • SFTP: oatstest-sftp.finra.org

    Business and Technology Support

    Technical Support
    Telephone: 1-800-321-6273
    FAX: 240-386-6499
    [email protected]

    Business Support
    Telephone: (800) 321-6273
    240-386-4841
    [email protected]