FINRA - Financial Industry Regulatory Authority Inc.

02/22/2021 | Press release | Distributed by Public on 02/22/2021 12:03

TRAQS and Reference Data API Parallel Production Access

As previously communicated effective Monday, April 19, 2021, FINRA will replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website and will also institute system infrastructure changes for TRAQS and the API reference data software.

From Monday, March 8, 2021 through Friday, April 16, 2021, FINRA will be supporting a software production parallel period. During this time, firms can continue to access the TRAQS website via digital certificates utilizing the current system infrastructure or they can access the TRAQS website via MFA utilizing the new system infrastructure.

MFA access to the FINRA API reference data will not be supported until a later date and firms must continue to use digital certificates until the fourth quarter in 2021to download API files.

TRAQS Website

Between Monday, March 8, 2021 and Friday, April 16, 2021, users may gain access to the TRAQS website production environments by utilizing either a digital certificate (as is currently supported) or via the new MFA. Beginning April 19, 2021, all TRAQS users will be required to use MFA to gain access to TRAQS and will be denied access to TRAQS if they have not converted.

Note: During the production parallel period users should ensure not to duplicate transactions if they are trying to use TRAQS via certificates and MFA to report to FINRA, as both methods will route transactions to the production host infrastructure.

Multi Factor Authentication (MFA)

FINRA has produced a dedicated TRAQS Multi Factor Authentication (MFA) User Guide, and recommends that users review this guide to familiarize themselves with the new processes for TRAQS secure system access using MFA.

To use MFA, users will be required to enroll in MFA in the TRAQS production environment. Existing, active production TRAQS website users will be emailed automatically with enrollment instructions beginning on Thursday March 4, 2021.

To establish a new TRAQS user name, a person with administrator access to the FINRA Order Form must complete the FINRA Order Form.

An email will then be sent to the user inviting them to access the NASDAQ MFA service.

FINRA System Infrastructure

The new system platform supporting TRAQS is designed on a Linux-Based Operating System, which will utilize secure Cloud-Based technology for resilience and redundancy. The infrastructure changes will be transparent to users, however FINRA encourages users to test TRAQS and the API to ensure continuity.
Users may access TRAQS and the API files via the new system infrastructure by accessing the links below.

Please review the Link and Notes sections carefully as changes will occur to the links once the parallel period ends.

Function Link Notes

Setup TRAQS entitlement for MFA

https://mpp.nasdaq.com

Allows user to access their user profile and TRAQS in new infrastructure

Access TRAQS in new infrastructure
parallel period
(3/8/2021-4/16/2021)

https://beta.finratraqs.org

TRAQS available via MFA credentials for production parallel period

Access TRAQS in new infrastructure
permanent period
(begins 4/19/2021)

https://finratraqs.org

TRAQS available via MFA credentials for permanent production period

Access to API reference data in new infrastructure

parallel period
(3/8/2021-4/16/2021)

https://download2.finratraqs.org

Allows user to review API files in new infrastructure; a digital certificate, login id and password will continue to be necessary for API access to the new infrastructure

Access to API reference data in new infrastructure

permanent period
(begins 4/19/2021)

https://download.finratraqs.org

or

https://download2.finratraqs.org

Allows user to review API files in new infrastructure; a digital certificate, login id and password will continue to be necessary for API access to the new infrastructure

FINRA will issue additional Technical Notices inviting clients to participate in Saturday production tests as those test dates approach.

Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.