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.
 App NameApp Space NameSupported Transfer MethodsFile Retention Duration for file Download
1606nms

in,

out

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

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
4aepstockrec

in,

out

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

in,

out

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

data,

legend,

out

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

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days  
14ceplatfm

courseproviders_in, courseproviders_out,

courseresults_in,

courseresults_out,

courses_in,

courses_out,

incidentreports_in

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

in,

in_pcf_main,

in_pcf_supp

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

in,

out

SFTP + HTTPS + S3_DIRECT120 calendar days
25FormT

in,

out

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

foia_download,

foia_upload

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

in,

in2

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

in,

out

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

file_in,

file_out,

out,

section1To4_report_out,

section5_event_report_out,

section6_event_report_out

SFTP + HTTPS + S3_DIRECT30 calendar days
37otcinSFTP + HTTPS + S3_DIRECTN/A
38pfrd

covered_agency_in,

covered_agency_out,

enhanced_margin_in,

enhanced_margin_out,
in,

out

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

covered_agency_in,

covered_agency_out,

enhanced_margin_in,

enhanced_margin_out,
in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
41r4530

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
42rdms

incoming,

xbrl

SFTP + HTTPS + S3_DIRECT 
43regm

in,

out

SFTP + HTTPS + S3_DIRECT 
44remainSFTP + HTTPS + S3_DIRECT 
45rex

in,

out 

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

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
50slate

feedback,

filings

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

in,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
53tdr

in_ice,

in_ndq,

out

SFTP + HTTPS + S3_DIRECT30 calendar days
54teamconnin SFTP + HTTPS + S3_DIRECTN/A
55thresholdlistoutSFTP + HTTPS + S3_DIRECT30 calendar days
56tradejrnls

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
57trpcy_srvc_erdin_cdsSFTP + HTTPS + S3_DIRECTN/A
58workday

from_vms,

from_workday,

to_vms,

to_workday

SFTP + HTTPS + S3_DIRECT14 calendar days
59wssdmcredregouySFTP + HTTPS + S3_DIRECT30 calendar days