Stock Record and Allocation Data Filing

In an effort to improve FINRA's ability to assess risk and the efficiency of the examination process by tailoring examination reviews to each firm's business, the Financial Industry Regulatory Authority (FINRA) has implemented a financial and operational automation project for carrying and clearing member organizations. FINRA is requesting that firms submit their Stock Record, Chart of Accounts and SEA Rule 15c3-3 Reserve Formula Allocation data in a standardized format, using eXtensible Markup Language ("XML").

Please use the documents linked on this page in Section (II) to assist you in fulfilling the request for your firm's Stock Record and Rule 15c3-3 Reserve Formula Allocation data. FINRA has included detailed data definitions for the information that is requested.

This page outlines the following support information:

1. FINRA Contacts
2. Documentation
3. Current XSD Files and Diagrams
4. Connections for Submission to FINRA

   4.1 Submission via Request Manager

   4.1.1 How to Access Request Manager
   4.1.2 How to view a request in Request Manager
   4.1.3 General Information on Request Manager
   

   4.2 SFTP Connections

   4.2.1 Destination Folders
   4.2.2 SFTP Account and Password Assistance

   4.3 Accounts - eAnalytics Data Quality Scorecard (DQS)
   4.4 Super Account Administrator (SAA) lookup

Following are the respective details in each of the four sections outlined above:

1. FINRA Contacts

If you need assistance, please email [email protected]

2. Documentation

Current AEP Data User Guide (PDF 1.6 MB)

Complete List of Validations from AEP Data User Guide (Excel 43 KB)

Firm Profile - Account Mappings (Excel 8 KB)

Firm Profile - Allocation pair off Mappings (Excel 9 KB)

Firm Profile - Branch Information (Excel 8 KB)

Firm Profile - DTCC Participant Mappings (Excel 8 KB)

Firm Profile - DTCC Account Mappings (Excel 8 KB)

3. Current XSD Files and Diagrams

Access each XSD or diagram file individually below or download all files (Zip 376 KB)

4. Connections for Submission to FINRA

This section provides information on how to connect to FINRA systems via SFTP or HTTP (Web uploads) and submit your filings along with new account requests and password assistance for each environment. It also provides URLs for the website to view Request IDs in Request Manager and Scorecard results in DQS-eAnalytics.

4.1 Submission via Request Manager

4.1.1 How to Access Request Manager

Access to FINRA's web applications is managed through the FINRA Entitlement Program. The Entitlement Program allows your firm's Super Account Administrator (SAA) to create and entitle accounts for FINRA applications. Please contact your SAA for more information.

4.1.2 How to View a Request in Request Manager

1. The request can be viewed by clicking in the top right link, "View Request", in the Record Request Notification email.
2. The requests can also be accessed via Request Manager through FINRA's Firm Gateway - URL listed above
3. Once in Firm Gateway, choose the Information Requests tab from the top navigation.
4. In the Information Requests tab you can search for a Case or Request ID by clicking on the desired column heading and using the 'Enter Filter Text' field. The Case and Request IDs are available in the Record Request Notification email.

5. When your desired Case or Request ID appears at the top of the list, click on it to view the information request in Request Manager.

4.1.3 General Information on Request Manager

General information on Request Manager is available at: http://www.finra.org/industry/request-manager.

The Request Manager User Guide can be downloaded at: http://www.finra.org/sites/default/files/request-manager-user-guide.pdf.

4.2 SFTP Connections:

FINRA has transitioned to a new centralized, secure file transfer platform called fileX where firms can programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization. fileX supports the following three service methods through which files can be transferred to FIRNA: SFTP, REST API and S3 Direct. For more information about fileX and connection details such as IP Addresses and Host/DNS Names, refer to the fileX User Guide.

4.2.1 Destination Folders:

4.2.2 SFTP Account and Password Assistance: Same FTP User account and password can be used in both Production and Test environments.

**New Account Request: please note that you will require separate accounts for FTP and Website access. These cannot be used interchangeably. For Website accounts see below points (c) and (d).

4.4 Accounts – eAnalytics Data Quality Scorecard (DQS):

Access to FINRA's web applications is managed through the FINRA Entitlement Program. The Entitlement Program allows your firm's Super Account Administrator (SAA) to create and entitle accounts for FINRA applications. Please contact your SAA for more information. Your user account must have entitlements to "Report Center: Firm View Data Quality Scorecard" to access the Data Quality Scorecard.

To view the eAnalytics – Data Quality Scorecard (DQS) results for your submissions, use the following URL. https://newreportcenter.finra.org/reportcenter/reports/data-quality-scorecard/report-view/13

4.5 Super Account Administrator (SAA) lookup:

The Entitlement Program allows your firm's Super Account Administrator (SAA) to create and entitle accounts for FINRA applications as described above. To identify your firm's SAA, please login to Firm Gateway at https://firms.finra.org/ with your website account and follow the steps below. (Note: Do not use ftp account credentials as they will not work on this site.)

1. Click on "My Account" at the top right of the screen, above your user name
2. Click on "Applications & Administrators" , under the My Account menu on the left
3. Please contact the SAA that appears for your organization or proceed to look up specific application entitlement details as follows:
   • Review the table that lists all FINRA applications available to your organization
   • Identify the Account Administrator (AA) for the specific entitlement you are interested in
     1. Report Center
     2. Secure Request Manager
     3. eAnalytics
   • Please contact the applicable Administrator to change your permissions
   • View our Super Account Administrator (SAA) page for more information.