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The Submission API allows third-party systems to submit filings and other data to FINRA via a standard submission interface.

Frequently Asked Questions

The Submission API and its supporting notifications are upcoming products that will become available in 2023. FINRA is providing early technical specifications (documentation) to allow API users to begin planning for the integration.  These specifications are limited to Create Individual and U4 submission use cases. Additional use cases (e.g. U5 submission, etc.) will be addressed later in 2023 and beyond.  Please note that the final specifications may differ from this initial version. To provide feedback or to ask clarifying questions contact the API team via email at [email protected]