This section lists the application sub-spaces and retention policies for the respective applications in fileX. This section will be updated as FINRA applications migrate to fileX service but if any application space you are trying to use is not listed below, please contact FINRA support to get details. 

Key: 

  • Immediately Moved - these files are moved out of the indicated sub-space as soon as they are processed by the downstream applications. There should be no expectation that the files in these application sub-spaces will persist beyond the transfer itself.
  • N days - Number of days for which files will remain in the indicated application sub-space. Files will be removed from the application sub-space after N days have passed.
 ProgramApp NameApp Space NameSupported Transfer MethodsFile Retention Duration for file Download
1606606nms

in,

out

SFTP + HTTPS + S3_DIRECT + UI UPLOAD90 calendar days
2 acatsinSFTP + HTTPS + S3_DIRECTN/A 
3AREFadv

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
4 aepstockrec

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
5 annual_audit_filingoutSFTP + HTTPS + S3_DIRECT30 calendar days
6 ats_exempt_trd

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
7 bd_auditor_dsclr_feedoutSFTP + HTTPS + S3_DIRECT30 calendar days
8 beaconinSFTP + HTTPS + S3_DIRECTN/A
9 blotters

data,

legend,

out

SFTP + HTTPS + S3_DIRECT15 calendar days
10 blshtsin, outSFTP + HTTPS + S3_DIRECT1 calendar days
11 boxoutSFTP + HTTPS + S3_DIRECT90 calendar days
12 cboedncinSFTP + HTTPS + S3_DIRECTN/A
13 cccs

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days  
14 ceplatfm

courseproviders_in, courseproviders_out,

courseresults_in,

courseresults_out,

courses_in,

courses_out,

incidentreports_in

SFTP + HTTPS + S3_DIRECT + UI UPLOAD30 calendar days
15 cfportalinSFTP + HTTPS + S3_DIRECT 
16 cleansharesinSFTP + HTTPS + S3_DIRECT 
17 clmoutSFTP + HTTPS + S3_DIRECT 
18 dtcc-fdrinSFTP + HTTPS + S3_DIRECTN/A
19 edgar_pdsinSFTP + HTTPS + S3_DIRECTN/A
20 erdmdsfundSFTP + HTTPS + S3_DIRECT 
21 etf

in,

in_pcf_main,

in_pcf_supp

SFTP + HTTPS + S3_DIRECTN/A
22 fdrinSFTP + HTTPS + S3_DIRECTN/A
23 firmcontactoutSFTP + HTTPS + S3_DIRECT30 calendar days
24eFocusfocus

in,

out

SFTP + HTTPS + S3_DIRECT120 calendar days
25 FormT

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
26 fssinSFTP + HTTPS + S3_DIRECTN/A
27 iard

foia_download,

foia_upload

SFTP + HTTPS + S3_DIRECT +  UI UPLOAD30 calendar days
28 livevolusrinSFTP + HTTPS + S3_DIRECTN/A
29 mpp

in,

in2

SFTP + HTTPS + S3_DIRECTN/A
30 msrb_avtsinSFTP + HTTPS + S3_DIRECTN/A
31 nasdaq_vntvinSFTP + HTTPS + S3_DIRECTN/A
32 navinSFTP + HTTPS + S3_DIRECTN/A
33 nq_clrginSFTP + HTTPS + S3_DIRECTN/A
34 NVXPLYTC

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
35 otcinSFTP + HTTPS + S3_DIRECTN/A
36 pfrd

file_in,

file_out,

out,

section1To4_report_out,

section5_event_report_out,

section6_event_report_out

SFTP + HTTPS + S3_DIRECT30 calendar days
37Over-the-counter (OTC)otcinSFTP + HTTPS + S3_DIRECTN/A
38 pmap

covered_agency_in,

covered_agency_out,

enhanced_margin_in,

enhanced_margin_out,
in,

out

SFTP + HTTPS + S3_DIRECT +  UI UPLOAD30 calendar days
39 phlxdncinSFTP + HTTPS + S3_DIRECTN/A
40 pmap

covered_agency_in,

covered_agency_out,

enhanced_margin_in,

enhanced_margin_out,
in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
414530r4530

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
42 rdms

incoming,

xbrl

SFTP + HTTPS + S3_DIRECT 
43Regulation M Filingsregm

in,

out

SFTP + HTTPS + S3_DIRECT 
44 remainSFTP + HTTPS + S3_DIRECT 
45Rexrex

in,

out 

SFTP + HTTPS + S3_DIRECT 
46 rgstrn_submissionoutSFTP + HTTPS + S3_DIRECT30 calendar days
47 sbsinSFTP + HTTPS + S3_DIRECT 
48 shortinterestoutSFTP + HTTPS + S3_DIRECT30 calendar days
49 shorts

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
50 slate

feedback,

filings

SFTP + HTTPS + S3_DIRECT30 calendar days
51 ssmartinSFTP + HTTPS + S3_DIRECTN/A
52 stockrecord

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
53 tdr

in_ice,

in_ndq,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
54 teamconnin SFTP + HTTPS + S3_DIRECTN/A
55 thresholdlistoutSFTP + HTTPS + S3_DIRECT30 calendar days
56ADDS/TDDS
and ORF		tradejrnls

agency,

agencyc,

clearing_cds,

clearing_orf,

equity_adf,

equity_orf,

trace_ca,

trace_cb,

trace_cb_144a,

trace_cb_144ac,

trace_cbc,

trace_eod_sp,

trace_eod_spc,

trace_eod_tsds,

trace_eod_tsdsc,

trace_sp,

trace_sp_144a,

trace_sp_144ac,

trace_trsry,

tsar,

tsarc

SFTP + HTTPS 30 calendar days
57 trpcy_srvc_erdin_cdsSFTP + HTTPS + S3_DIRECTN/A
58 wssdmcredregouySFTP + HTTPS + S3_DIRECT30 calendar days