fileX allows upload operation only to specific directories for the respective FINRA application. Make sure you are trying to upload to the correct directory. See section 8 for FINRA Application specific directory information. In addition you need to make sure the account performing the upload has the proper entitlements for that application. Please contact FINRA support team for questions related to FINRA Entitlements.
Network connection errors may occur because IP Address or DNS names are not whitelisted by either your network/firewall department or FINRA’s network/firewall department. Please ensure you have whitelisted fileX SFTP IP addresses as required and verify outflow of traffic at your end. Inform FINRA of your outgoing IP address (internet routable IP addresses) so it could be whitelisted on FINRA’s side (see also question 22) by contacting FINRA support team.
Network connection errors could also happen due to encryption key related issues. If the problem still persists after whitelisting IP addresses, please contact FINRA support team to troubleshoot.
This could happen due to network related issues at your end, please check with your network support to ensure proper outbound data traffic flow. If you are still getting this error, please contact FINRA support team to troubleshoot.
Yes. You can find the latest AWS documentation here - https://docs.aws.amazon.com/AmazonS3/latest/dev/uploadobjusingmpu.html
No, fileX only supports GET method to download the file
fileX service allows all letters (a-z)(A-Z), numbers (0-9) and special characters (: ! @ , & - = ' _). However file name should not contain ‘#’ as anything after this character in the filename would be ignored.
Each FINRA application may enforce a certain naming convention, please check with that application contacts for additional restrictions.
No, FINRA will retain the previously whitelisted IP address for fileX service also.
fileX service with FINRA is tested with some SFTP clients like FileZilla, SecureFX and WinSCP.
You can check the status of the fileX service through the below health check URL: https://filex.finra.org/health.
fileX does not allow rename or delete operations on files at the download locations.
fileX service does not put any limit on the file size for SFTP. However it is recommended to keep the file size under 60GB to have better control over the file transfer process. If you have a need to transfer very large files, please contact FINRA support to facilitate such transmissions.
Yes. fileX service experience will be consistent across all the supported methods. Same files will be available in all the supported methods.
Tracking API from fileX is only supported for upload requests made through HTTP REST APIs.
It is recommended to connect to the hostname referenced in Section 3: Environment and Connectivity
The following Ciphers are supported in TLS v1.2
This may happen due to variety of reasons ranging from slow network connection to large file size. It is recommended to wait for few minutes for fileX service to pick up the file(s) before reaching out to FINRA support team.
You may have too many concurrent connections opened to fileX. Make sure your connections are terminated gracefully after successful upload/download operations. As a good practice avoid frequent connections to check for a file, only connect at the expected file availability time. Contact the respective FINRA Application to know the expected file availability time/s.
FINRA handles every uploaded file as a separate submission and delivers to the application that processes that submitted data. Please contact the FINRA support team for guidance in handling re-uploads in specific scenarios.
The token lasts for 12 hours.
Yes, all users using SFTP method for fileX file transfer are impacted by the change. To learn more about the change, see here.
It is a standard HTTP Response Code you get when the tracking ID provided in the API request is either invalid or older than 90 days
Yes, files uploaded through any of the supported access methods, SFTP, HTTPS, S3 Direct, and FINRA Gateway Upload application gets archived for 30 days.
Please call FINRA support at 800-321-6273 or visit the web page at https://tools.finra.org/cc_support/ to open a support request to onboard to fileX .
Yes, fileX does support SSH Keys
SFTP commands supported by fileX: put, get, cd, ls
SFTP commands not supported by fileX: mkdir, rmdir, ln, chgrp, chown, chmod, move, rename fileX SFTP does not support put append or put resume.
You may still see the file in the folder but it is highly recommended to upload the file again. fileX must receive a successful upload complete status from client applications before it starts processing file(s). When re-uploading the same file, name sure the file name is not changed.
The account will be locked out if it connects with invalid credentials, please contact FINRA support for further help with the account.
Some of the most common reasons are
Both sessions will see the same directories and files. fileX service moves the file(s) immediately after the upload is complete, so a file that gets uploaded in session ‘A’ may "disappear" from view of session ‘B’.
fileX does not allow any changes/operations to the file like changing the owner (CHMOD) or renaming the file. If customers perform these tasks after uploading the file, it would become unusable and customers have to reupload the file.
Some SFTP clients attempt these actions by default, so they should be disabled.
As mentioned in this document, fileX service access is controlled by credentials provided and permissioned by FINRA Entitlement services. Please call FINRA support at 800-321-6273 or visit the web page at https://tools.finra.org/cc_support/ to request access. You may also check https://www.finra.org/industry/entitlement-program for information related to Entitlement process.
Your account may not be active or locked out. Also check with FINRA support team to check the status of the account and it has correct privileges to use fileX services.
fileX service keeps a copy of uploaded files in an archive sub-space, corresponding to the incoming application sub-space where file was originally uploaded. All files are retained in the archive sub-space for 30 calendar days. How to track a file's progress?
File Tracking API allows users to track files uploaded through REST API. For SFTP and S3 Direct, please contact the FINRA support to check the status of a submitted file.
Any client language can be used to call fileX API endpoints as long as the requests are valid REST calls.
No. You do not have to provide the authentication details again to download the file. URL is pre-signed and valid for 1 minute following the GET request. Please make sure to initiate the download request within the 1 minute time limit. If you try to download after the expiration time, the download operation will fail with error message similar to below.
<?xml version="1.0" encoding="UTF-8"?>
<Error>
<Code>AccessDenied</Code>
<Message>Request has expired</Message>
<X-Amz-Expires>59</X-Amz-Expires>
<Expires>2018-12-11T19:58:13Z</Expires>
<ServerTime>2018-12-11T23:38:49Z</ServerTime>
<RequestId>CD51795F7323938B</RequestId>
<HostId>GZmAO5Wk70of2S+xkd47hM2oT2UYCs7z9IfZy++C4qmR/cU5nM1paCih0LH7JmfrxTyRHdeqkNI=</Host
Id>
</Error>SFTP and AWS S3 Direct transfer methods do not have any limit on the number of files that could be transferred in a single operation but HTTPS REST method allows only ONE file per API call.
Yes, a user with right entitlement can download file available in the archive sub-space
This could be due to lack of proper/required FINRA entitlements to the specific application you are trying to upload/download. Please contact FINRA support team.
You have to call the S3TransferToken API from fileX again to get the new access token.
fileX does not allow recursive PUT operations.