Access Methods | FINRA API Developer Center

SFTP Transfer Method

The following steps are required to use the fileX SFTP service

Open firewall to allow outbound traffic on port 22 to FINRA SFTP host IP addresses.

Request FINRA to allow inbound traffic on port 22 for your outbound server’s internet routable IP address. Please call FINRA support at 800-321-6273 and provide the list of external IPs to be whitelisted to open the network/firewall from FINRA.
Request FINRA Credentials (if not already available) with entitlements for specific FINRA application file transfer.
Install and configure a SFTP client/library to connect and transfer files.

Ensure the following SFTP SSH configurations are set appropriately on your SFTP client

Supported Ciphers and Algorithms List

		Supported Ciphers and Algorithms
1	Supported SSH Ciphers	aes128-ctr [email protected] aes192-ctr aes256-ctr [email protected]
2	Supported SSH Key Exchange Algorithms	mlkem768x25519-sha256 mlkem768nistp256-sha256 mlkem1024nistp384-sha384 diffie-hellman-group14-sha256 diffie-hellman-group16-sha512 diffie-hellman-group18-sha512 ecdh-sha2-nistp384 ecdh-sha2-nistp521 ecdh-sha2-nistp256 diffie-hellman-group-exchange-sha256 [email protected] curve25519-sha256
3	Supported SSH MAC Algorithms	[email protected] [email protected]

Using On Behalf Of (OBO) for SFTP
- Open your SFTP client.
- Log in with your Prime account user name and password, or you can use your SSH key.
- Once you are connected to the host, you can see the profile org IDs that you are entitled to submit through OBO, and you can upload and download files with that profile org.
  - Note: You can view an org ID to see the entitlement for the profile. For example, if an org ID shows 606 NMS, the profile is entitled for SEC Rule 606 NMS Reporting.
  - Here is an example of submitting a file OBO using CURL commands:

AWS S3 DIRECT TRANSFER

The following steps are required to use the fileX S3 Direct service:

Open firewall to allow outbound traffic on port 443 from your outbound server IP address to fileX HTTPS REST APIs and to FINRA Identity Platform (FIP) API endpoints.
Request FINRA Credentials (if not already available) with entitlements for specific FINRA application file transfer.
Open firewalls to allow traffic to/from AWS S3.
1. For AWS S3 IP ranges refer to: https://docs.aws.amazon.com/general/latest/gr/aws-ipranges.html.
Invoke FIP OAUTH API to obtain OAUTH token .
Obtain S3 STS access token from the fileX REST API for AWS S3.
Use the S3 STS access token to upload/download using AWS S3 APIs or AWS CLI or AWS SDK wrapper libraries.

Request Parameters

Parameters	Required	Accepted Values	Case Sensitive	Description
ORG_ID	Y	Numerical values 0-9+	N/A	Number representing the account’s orgId provided by FINRA (e.g. 0001 or 888888)
APPLICATION	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application (e.g. focus, crd, appX)

Response Attributes

Element/Attribute Key	Description
region	AWS region where S3 bucket is located
sessionName	Unique identifier generated by fileX for the request to generate the token
readPaths	List of application spaces available to the users to download file(s)
writePaths	List of application spaces available to the users to upload file(s)
accessKeyId	20 character alphanumeric string that identifies the temporary access token
secretAccessKey	40 character alphanumeric string used to sign the request
sessionToken	Token that users must pass to the service API to use the access token. Token is valid for 1 hour only. Users will have to generate and use new tokens to upload/download additional file(s) to AWS S3 after the previous token is expired.
expiration	Time at which current access token expires

AWS S3 Sample Code

Complete the following steps to upload/download your file using AWS S3:

Get OAUTH2 access_token from FIP OAUTH2 API (HTTP Method: POST) curl --location --request POST 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=c…' --header 'Authorization: Basic XXXXXXXXXXXXXXXXXXXXXXXXXXX'
Invoke fileX API (HTTP Method: GET) curl -X GET https://filex.finra.org/S3TransferTokens/0001/app1 -H "Accept: application/json" -H "Authorization: Bearer

After getting the access token using fileX S3Token API, customers can use any of the AWS S3 APIs, AWS CLI or AWS SDK wrapper libraries to upload/download files.

GET Sample Request to fileX API

https://filex-int.qa.finra.org/S3TransferTokens/7777/app1

Sample Response from fileX API

{
  "region": "us-east-1",
  "sessionName": "filexuser7777@26592f93-f124-4d9a-a6ed-eefc3c9dba01",
  "readPaths": [
    "1422-4800-0760-filex-qa-int/7777/app1/in_arcv/",
    "1422-4800-0760-filex-qa-int/7777/app1/out/"
  ],
  "writePaths": [
    "1422-4800-0760-filex-qa-int/7777/app1/in/"
  ],
  "credentials": {
    "accessKeyId": "ASIAST4OK6N2C5M",
    "secretAccessKey": "UjJ968D0V4lzIN65FfnlKUqFdBig2va0Cr",
    "sessionToken": "FwoGZXIvYXdzENb//////////wEaDB2zD7M442u66VFVVSK0FbhMz2DWa0HHkLxEH+uKHQg22mTJzOxhCE8zEv3tUnF1wzGWL5I//zVch7abvQR6ivLw12bGTyckLADiMOEkLNDOBzAlaaSWTaGiS0A8k5RKsDelUsH4rtyducNcJRRGAzjnRII+HWOc1LyulULlAz2tO44YDKmOWOGjdnPr2xljOLTx
PgwaVzNNM8NTcdCGNepWICl3r2A1UUESbzWrG6RCNyhU9vyxt4PJiRyRhHj6pQ4I++GVUvEhmyfiH4HbTo39x5uteFZw2Utn0jDp6TPHF8CvZmUf9a9Ygxo58axzJbDlBoFr0o2Y44TCHisYaewJfSptEdkPyQGIqFi1v1",
    "expiration": "2025-08-22T17:29:58.000-04:00"
  }
}

Sample Python Code to call FIP and fileX


import base64, requests, sys, json

username = '1234ftp12'
password = '******'
# Base64 encode username:password
userpass = username + ":" + password
authorization = base64.b64encode(userpass.encode()).decode()
# Prepare headers for POST call to FIP OAUTH2
fipRequestHeaders = {
    'Authorization': 'Basic ' + authorization,
}
# Make the request to FIP
fipUrl = 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials'
fipResponse = requests.post(fipUrl, headers=fipRequestHeaders)
fipResponseJson = json.loads(fipResponse.text)
# Retrieve access token from FIP response
access_token = fipResponseJson["access_token"]
# Prepare headers for GET call to fileX API
fileXRequestHeaders = {
    'Authorization': 'Bearer ' + access_token,
    'Accept': 'application/json',
}
fileXUrl = "https://filex.finra.org/files/0001/app1"
# Make the request
fileXResponse = requests.get(fileXUrl, headers=fileXRequestHeaders)

Sample AWS CLI Code to upload a file to an application sub-space

export AWS_ACCESS_KEY_ID=ASIA203QSOJNCHBALYNN
export AWS_SECRET_ACCESS_KEY=phshuUXUANHMXx9awFsZx7YJSX1074t4d02nG2p
export AWS_ACCESS_TOKEN=FOoGZXIvYXdcEGoaDMx5LP2o0aRUA5QzyiKoBE/BrAiV9FRPb/ilip/rXf8nRgMTODCoSeMa23481K5//gYcRCVOIcCzfjWgv+HFKIOBrerceso9ROIZBHVBIAj3WNNjyb
OtaxSvUOQc5cTioWA.UiPOnhpgUy+fC1PnfgXAAbugyfaxulrolyWOL9TACfnURzsbHOUD8+HMZt5qGSsEppljrkb/9Gxad+NXFgQ568cheffk9yn25NcaER95R11Si60/dEIE2WZPAleh/
Xt12dpPeeskm/KEWwAq2bN3DwBOYeoG8IA6exlickneMu6L300cIPcWbxwcpZpTG5cOPPOI6/C6XvuFa918yelxMFBBNf7PoRa0x1KTeT/m/d.Sd/LWpa/31aTeCFPFoBPkeG/
gpJPLrvrwlKUFxQkVVCRfFwdTkezauvQFov4D9J0ZkMaHFsfinWMitxrrTZOUVtgzZd5BayxOLmyoK9g2gE2fOfg9Rr5Far5Ds3xynR3dl94nbiH5PjzonGllsaHe4Rm0cT+Ta8f07i0B/
T+nU5Kb8c4t7alyh2rXc+KXBBiRrtOOVCocYbcMZFUzBKMo02xNa5msimSM21CC/
e3jPF14erSeEsAyu+gXBX2NpoVekqQ0UaRalYvgGTLdR82WzfblxFfUMudoWIt7uatih8/fgepV6NsmAXHUVck+SnIrGAXLmHgW6CFZDS/R/
cLeyLXV54zkDqATLezheYIGhC2XsGzFYukAM3B039akr2UWWwSjjo/zjell==

aws s3 cp test.txt s3://bucket-test/001/app1/in/test.txt

FINRA Gateway Upload App Overview

Complete the following steps to upload your file via the Upload app in FINRA Gateway:

Log in to FINRA Gateway: https://gateway.finra.org/. In case of using the On Behalf Of feature, login using your prime account.
Continue to multi-factor authentication and complete the prompt in your MFA client. For example, Duo is an MFA client.
1. Important: In case of using On Behalf Of feature, you will see your Prime account listed first, followed by profiles from organizations that have given you permission to submit files for them. Profile accounts always start with [obo+the Org ID]. Select the profile you want to submit on behalf of. 
Select Upload in the left menu bar or from the dashboard page
Make your selections and Submit your file for upload. You must upload one file at a time, and file size cannot exceed 5120 MB.
Select the Upload File History tab to view the files you have uploaded for the past thirty days. Select the File Feedback tab to download your file with FINRA’s feedback.
To switch Profiles while using On Behalf Of (OBO) feature, go to your account and select Manage Log Ins.
From the login screen, you can change accounts, complete MFA, and then you can upload files for another profile.

HTTPS REST API

The following steps are required to use the fileX HTTPS REST API service:

Open firewall to allow outbound traffic on port 443 from your outbound server IP address to fileX HTTPS REST APIs and to FINRA Identity Platform (FIP) API endpoints
Request FINRA Credentials (if not already available) with entitlements for specific FINRA application file transfer (see section 4)
Open firewalls to allow traffic to/from AWS S3. Upload and Download services currently use native AWS S3 endpoints.
For AWS S3 IP ranges refer to: https://docs.aws.amazon.com/general/latest/gr/aws-ipranges.html
Invoke FIP OAUTH API to obtain OAUTH token
Invoke/Call fileX HTTP REST APIs with FIP OAUTH token as detailed in section 5 below

HTTPS Endpoints

fileX provides the following HTTPs endpoints to users.

List Available Applications

Provides an ability to get all the applications or directories that the user has access to.

Request Parameter

Parameters Required Accepted Values Case Sensitive Description
ORG_ID Y Numerical values 0-9+ N Number representing the account’s orgId provided by FINRA (e.g. 0001 or 888888)

Response Parameter

Element/Attribute Key	Description
name	Name of the present working space/directory
type	Type of this object DIR = directory
metadata -> writable	denotes if this is a writable space true/false
children	Child spaces/directories accessible Name, type, and metadata values are similar to self
_links	API links to self and children

Sample Code for GET a list of available applications

Step 1: Get OAUTH2 access_token from FIP OAUTH2 API (HTTP Method: POST) curl --location --request POST 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=c…' --header 'Authorization: Basic XXXXXXXXXXXXXXXXXXXXXXXXXXX'

Step 2: Invoke fileX API (HTTP Method: GET) curl -X GET https://filex.finra.org/files/0001 -H "Accept: application/json" -H "Authorization: Bearer <access_token>"

GET Sample Request to fileX API

https://filex.finra.org/fileX/0001

GET Sample Response

{
  "name": "0001",
  "type": "DIR",
  "metadata": {
    "writable": false
  },
  "children": [
          
    {
      "name": "testDIR1",
      "type": "DIR",
      "metadata": {
        "writable": false
      }
    },
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    
    {
      "name": "testDIR2",
      "type": "DIR",
      "metadata": {
        "writable": false
      }
    }
  ],
  "_links": {
    "self": [
      {
        "href": "https://filex.finra.org/files/0001"
      }
    ],
    "parent": [
      {
        "href": "https://filex.finra.org/files"
      }
    ],
    "children": [
      {
        "href": "https://filex.finra.org/files/0001/testDIR1"
      },
      {
        "href": "https://filex.finra.org/files/0001/testDIR2"
      }
    ]
  }
}

List Available Application Sub Spaces

Provides a list of sub-spaces within a given application or directory as well as links to the directory and spaces

Request Parameters

Parameters	Required	Accepted Values	Case Sensitive	Description
ORG_ID	Y	Numerical values 0-9+	N	Number representing the account’s orgId provided by FINRA (e.g. 0001 or 888888)
APPLICATION	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application (e.g. focus, crd, appX)

Response Parameters

Element/Attribute Key	Description
name	Name of the present working space/directory
type	Type of this object DIR = directory
metadata -> writable	denotes if this is a writable space true/false
children	Child spaces/directories accessible Name, type, and metadata values are similar to self
_links	API links to self and children

Sample Code for GET a list of available application spaces

Step 2: Invoke fileX API (HTTP Method: GET) curl -X GET https://filex.finra.org/files/0001 -H "Accept: application/json" -H "Authorization: Bearer <access_token>""

GET Sample Request to fileX API

https://filex.finra.org/fileX/0001/app1

GET Sample Response


{
  "name": "app1",
  "type": "DIR",
  "metadata": {
    "writable": false
  },
  "children": [
    {
      "name": "out",
      "type": "DIR",
      "metadata": {
        "writable": false
      }
    },
    {
      "name": "in",
      "type": "DIR",
      "metadata": {
        "writable": true
      }
    },
    {
      "name": "in_arcv",
      "type": "DIR",
      "metadata": {
        "writable": false
      }
    }
  ],
  "_links": {
    "self": [
      {
        "href": "https://filex.finra.org/files/0001/app1"
      }
    ],
    "parent": [
      {
        "href": "https://filex.finra.org/files/0001"
      }
    ],
    "children": [
      {
        "href": "https://filex.finra.org/files/0001/app1/out"
      },
      {
        "href": "https://filex.finra.org/files/0001/app1/in"
      },
      {
        "href": "https://filex.finra.org/files/0001/app1/in_arcv"
      }
    ]
  }
}

List Available Files in Application Sub Space

Provides an ability to get all the application sub-spaces that the user has access to.

Request Parameter

Parameters	Required	Accepted Values	Case Sensitive	Description
ORG_ID	N	Numerical values 0-9+	N/A	Number representing the account’s orgId provided by FINRA (e.g. 0001 or 888888)
APPLICATION	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application
SUB_SPACE	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application subspace

Response Parameter

Element/Attribute Key	Description
name	Name of the present working space/directory
type	Type of this object DIR = directory
metadata -> writable	denotes if this is a writable space true/false
children -> name	Name of the file
children -> type	Type of this object FILE = file
children -> metadata -> writable	denotes if this file can be modified true/false
children -> metadata -> contentLength	Size of the file in bytes
children -> metadata -> lastModified	Time file was last modified with UTC time zone
_links	API links to parent, self and children

Sample Code for GET a list of available applications

Step 2: Invoke fileX API (HTTP Method: GET) curl -X GET https://filex.finra.org/files/0001/app1/out -H "Accept: application/json" -H "Authorization: Bearer <access_token>""

GET Sample Request to fileX API

https://filex.finra.org/fileX/0001/app1/out

GET Sample Response

{
  "name": "out",
  "type": "DIR",
  "metadata": {
    "writable": false
  },
  "children": [
       
    {
      "name": "Testfile.txt",
      "type": "FILE",
      "metadata": {
        "writable": false,
        "contentLength": 130766,
        "lastModified": "2025-08-04T07:30:34.000-04:00"
      }
    },
    {
      "name": "Testfile2.txt",
      "type": "FILE",
      "metadata": {
        "writable": false,
        "contentLength": 130766,
        "lastModified": "2025-08-05T07:29:18.000-04:00"
      }
    }
  ],
  "_links": {
    "self": [
      {
        "href": "https://filex.finra.org/files/0001/app1/out"
      }
    ],
    "parent": [
      {
        "href": "https://filex.finra.org/files/0001/app1"
      }
    ],
    "children": [
      {
        "href": "https://filex.finra.org/files/0001/app1/out/Testfile.txt"
      },
      {
        "href": "https://filex.finra.org/files/0001/app1/out/Testfile2.txt"
      }
    ]
  }
}

Python Code Sample to get a list of files


import base64, requests, sys, json

username = '1234ftp12'
password = '******'
# Base64 encode username:password
userpass = username + ":" + password
authorization = base64.b64encode(userpass.encode()).decode()
# Prepare headers for POST call to FIP OAUTH2
fipRequestHeaders = {
    'Authorization': 'Basic ' + authorization,
}
# Make the request to FIP
fipUrl = 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials'
fipResponse = requests.post(fipUrl, headers=fipRequestHeaders)
fipResponseJson = json.loads(fipResponse.text)
# Retrieve access token from FIP response
access_token = fipResponseJson["access_token"]
# Prepare headers for GET call to fileX API
fileXRequestHeaders = {
    'Authorization': 'Bearer ' + access_token,
    'Accept': 'application/json',
}
fileXUrl = "https://filex.finra.org/files/0001/app1/out"
# Make the request
fileXResponse = requests.get(fileXUrl, headers=fileXRequestHeaders)

Download File from Application Sub Space

Provides an ability to download files from application sub-spaces that the user has access to.

Request Parameter

Parameters	Required	Accepted Values	Case Sensitive	Description
ORG_ID	N	Numerical values 0-9+	N/A	Number representing the account’s orgId provided by FINRA (e.g. 0001 or 888888)
APPLICATION	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application
SUB_SPACE	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application subspace
FILE_NAME	Y	Alphanumeric [a-zA-Z09]!@,&-='.	Y	Name of the file

Response Parameter

Element/Attribute Key Description
url URL used to execute the file download via GET call
expirationTime Time URL expires. Cannot initiate download after expiration time.

Sample Code to download a file

Step 2: Invoke fileX API (HTTP Method: GET) curl -X GET https://filex.finra.org/files/0001/app1/out/testfile.txt -H "Accept: application/json" -H "Authorization: Bearer <access_token>""

GET the pre-signed URL from the fileX API

https://filex.finra.org/fileX/0001/app1/out/testfile.txt

Sample Response for the pre-signed URL


{
  "url": "https://1422-4800-0760-filex-qa-int.s3.amazonaws.com/79/fileX/out/0AcREpi4FR-AtestVerboseRegexWithLette-1%2FX-Amz-Expires=60&X-Amz-SignedHeaders=host&X-Amz-Security-Token=FwoGZXIvYXdzEOX%2F%2F%2F%2F%2F%2F%2F%2F%2F%2FwEaDA3fRJlRsgYWKxgu5yLUAT3YUGSbtHh1G93w0BDuYQvcImXpEP7gu51a6088df6764d73fc5cd9b",
  "expirationTime": "2025-08-23T07:53:34.620-04:00"
}

Python code sample to get the pre-signed URL:


import base64, requests, sys, json

username = '1234ftp12'
password = '******'
# Base64 encode username:password
userpass = username + ":" + password
authorization = base64.b64encode(userpass.encode()).decode()
# Prepare headers for POST call to FIP OAUTH2
fipRequestHeaders = {
    'Authorization': 'Basic ' + authorization,
}
# Make the request to FIP
fipUrl = 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials'
fipResponse = requests.post(fipUrl, headers=fipRequestHeaders)
fipResponseJson = json.loads(fipResponse.text)
# Retrieve access token from FIP response
access_token = fipResponseJson["access_token"]
# Prepare headers for GET call to fileX API
fileXRequestHeaders = {
    'Authorization': 'Bearer ' + access_token,
    'Accept': 'application/json',
}
fileXUrl = "https://filex.finra.org/files/0001/app1/out/testfile.txt"
# Make the request
fileXResponse = requests.get(fileXUrl, headers=fileXRequestHeaders)

Upload File to Application Sub Space

This method allows users to upload file(s) to an application sub-space

Request Parameter

Parameters	Required	Accepted Values	Case Sensitive	Description
ORG_ID	N	Numerical values 0-9+	N/A	Number representing the account’s orgId provided by FINRA (e.g. 0001 or 888888)
APPLICATION	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application
SUB_SPACE	Y	Alphanumeric [a-zA-Z0-9]	Y	Name of the FINRA application subspace
FILE_NAME	Y	Alphanumeric [a-zA-Z09]!@,&-='.	Y	Name of the file
filex- {attribute}	N	Alphanumeric [a-zA-Z09]!@,&-='.	N	Optional metadata that can be attached with the file e.g. filex-InternalReference

Response Parameter

Element/Attribute Key	Description
url	URL used to execute the file download via GET call
expirationTime	Time URL expires. Cannot initiate download after expiration time.
trackingId	Unique Identifier to track the upload file request

Sample Code for Upload file(s) to the application sub-space

Step 1: Get OAUTH2 access_token from FIP OAUTH2 API (HTTP Method: POST) curl --location --request POST 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=c…' --header 'Authorization: Basic XXXXXXXXXXXXXXXXXXXXXXXXXXX'

Step 2: Invoke fileX API (HTTP Method: PUT) curl -X PUT https://filex.finra.org/files/0001/app1/in/newfile.zip -H "Accept: application/json" -H "Authorization: Bearer <access_token>""

PUT Request for the pre-signed URL from the fileX API

https://filex.finra.org/fileX/0001/app1/in/newfile.zip

Sample Response for the pre-signed URL


{
  "url": "https://1422-4800-0760-filex-qa-int.s3.amazonaws.com/79/fZizZcf3%2BYYI%2FuZrapUY%2F5Z%24lqsfOn4%2Bbkj4buGKefeI5IZ0Ew78bh6i7I7gOD9FA7qM2j1ZB%2FSsIkfJnHjfGL1beC8x%2FM3Vu9XpiTOKpemHXdlK9kyep%2FrsPwmFKK6Wp8UGMi1L%2F4BkKr1jLBLX268iYeGXlO2IUgIARg05d9jmRJ9%2BLviuLtAROJfTESifFCw%3D&X-Amz-Signature=7e5b6c1b156c83ff22492855acc714bdd981b34b775dfe07e08ad846d61358b5",
  "expirationTime": "2025-08-23T10:08:42.244-04:00",
  "trackingId": "d3caf6d8-34a4-4b83-9b63-b20dc055286"
}

Python code sample to get the pre-signed URL:


import base64, requests, sys, json

username = '1234ftp12'
password = '******'
# Base64 encode username:password
userpass = username + ":" + password
authorization = base64.b64encode(userpass.encode()).decode()
# Prepare headers for POST call to FIP OAUTH2
fipRequestHeaders = {
    'Authorization': 'Basic ' + authorization,
}
# Make the request to FIP
fipUrl = 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials'
fipResponse = requests.post(fipUrl, headers=fipRequestHeaders)
fipResponseJson = json.loads(fipResponse.text)
# Retrieve access token from FIP response
access_token = fipResponseJson["access_token"]
# Prepare headers for GET call to fileX API
fileXRequestHeaders = {
    'Authorization': 'Bearer ' + access_token,
    'Accept': 'application/json',
}
fileXUrl = "https://filex.finra.org/files/0001/app1/out/newfile.zip"
# Make the request
fileXResponse = requests.get(fileXUrl, headers=fileXRequestHeaders)

Step3, cURL to upload the file using pre-signed URL in Step 2 (HTTP Method: PUT): curl –X PUT –T ./newFile.zip

Track File uploaded to Application Sub Space

This method allows users to track uploaded files

Tracking without a specific identifier {TRACKING_ID} would return status of all the submissions made in last 90 days.
Request Parameter

Parameters Required Accepted Values Case Sensitive Description
TRACKING_ID N UUID in alphanumeric
with ‘- Y Unique identifier returned when file was uploaded to an application sub-space

Parameters	Required	Accepted Values	Case Sensitive	Description
TRACKING_ID	N	UUID in alphanumeric with ‘-	Y	Unique identifier returned when file was uploaded to an application sub-space

Response Parameter

Element/Attribute Key	Description
trackingId	Unique identifier returned when file was uploaded to an application sub-space
submissionTime	Time at which file was submitted
userName	Username of the account which was used to upload the file
fileName	Name of the file submitted
status	Two possible values: Request Received (pre-signed URL sent by fileX for the upload request) Received by FINRA (file received by fileX through the pre-signed URL)
downstreamStatus	Four possible values: RECEIVED - (file received by fileX) ACCEPTED - (FINRA has received and successfully processed the file) REJECTED - (FINRA has received and found processing error(s) with the file. The entire file needs to be resubmitted) PARTIALLY_REJECTED - (FINRA has received the file and found processing error(s) with the file. A new file with only corrected data needs to be submitted again.)
statusUpdatedTime	Time when status was last updated. Will be used in future by applications to update file processing status
fileSize	Size of the file submitted
uploadLocation	Location at which file was submitted
application	Application the file was uploaded to
applicationSpace	Specific application space the file was uploaded to
arcvFileName	Name of the submitted file in in_arcv location
downloadable	If the arcv file is available for download (If the submission time is within 30 days)

Sample Code for Upload file(s) to the application sub-space

Step 2: Invoke fileX API (HTTP Method: GET) curl -X GET https://filex.finra.org/tracking?id={TRACKING_ID}-H "Accept: application/json" -H "Authorization: Bearer <access_token>"

GET Request for the pre-signed URL from the fileX API

https://filex.finra.org/tracking?id=50e1b1c5-6150-4423-9da6-3c51ea34fc30

Sample Response for the pre-signed URL

[
  {
    "trackingId": "55390700-bfeb-4c88-9015-bff97ec83e00",
    "submissionTime": null,
    "userName": "filexuser79",
    "fileName": "testfile.txt",
    "status": "Request Received",
    "downstreamStatus": null,
    "statusUpdatedTime": "2025-11-20T21:02:47.428-05:00",
    "fileSize": 0,
    "uploadLocation": "79/fileX/in",
    "applicationName": "fileX",
    "applicationSpaceName": "in",
    "arcvFileName": null,
    "downloadable": false,
    "_links": [
      {
        "rel": "self",
        "href": "https://filex-int.qa.finra.org/tracking?id=55390700-bfeb-4c88-9015-bff97ec83e00"
      },
      {
        "rel": "parent",
        "href": "https://filex-int.qa.finra.org/tracking"
      }
    ]
  }
]

Python code sample to get the pre-signed URL:


import base64, requests, sys, json

username = '1234ftp12'
password = '******'
# Base64 encode username:password
userpass = username + ":" + password
authorization = base64.b64encode(userpass.encode()).decode()
# Prepare headers for POST call to FIP OAUTH2
fipRequestHeaders = {
    'Authorization': 'Basic ' + authorization,
}
# Make the request to FIP
fipUrl = 'https://ews.fip.finra.org/fip/rest/ews/oauth2/access_token?grant_type=client_credentials'
fipResponse = requests.post(fipUrl, headers=fipRequestHeaders)
fipResponseJson = json.loads(fipResponse.text)
# Retrieve access token from FIP response
access_token = fipResponseJson["access_token"]
# Prepare headers for GET call to fileX API
fileXRequestHeaders = {
    'Authorization': 'Bearer ' + access_token,
    'Accept': 'application/json',
}
fileXUrl = "https://filex.finra.org/tracking?id=50e1b1c5-6150-4423-9da6-3c51ea34fc30"
# Make the request
fileXResponse = requests.get(fileXUrl, headers=fileXRequestHeaders)

Step3, cURL to upload the file using pre-signed URL in Step 2 (HTTP Method: PUT): curl –X PUT –T ./newFile.zip