Automated Exam Program File Submission Refresher Course November 2018

Process Overview In anticipation of the start of Financial and Operational Examinations (FINOP) of certain carrying and clearing firms, the following process is in place for obtaining member firms’ XML Stock Record and related files: A request for the relevant XML files is sent Firms are responsible for XML files to be complete and accurate Firms must provide full Stock Record Data It is highly recommended that firm side validations are performed using XSD as noted in Appendix D of the FINOP User Guide before data submission to FINRA This ensures that the XML is well formed and valid Coding issues delay the process FINOP Data User Guide: http://www.finra.org/sites/default/files/external_apps/p124271.pdf Firms are requested to update/verify the information in the “Firm Profile” Section of the eAnalytics Application Requested files are submitted by firms using one of these options: Files are manually attached to the Request in Request Manager Files are automatically transferred using SFTP Uploaded files are processed in automatically 1

Steps for Member Firms For successful file submission and processing, Firms should ensure: 1: Accuracy and completeness of Firm Profile Information 2: Files are named according to the specified naming conventions 3: Individuals charged with submitting the files have access to Request Manager via Firm Gateway 4: SFTP (if used) connections to both FINRA environments (Customer Testing Environment (UAT) and Production Environment (PROD)) are operational 2

#1. Firm Profile Information Firm Profile data is entered/updated via eAnalytics Data Quality Scorecard (DQS) Application Firm Profile contains settings and mapping information that affects how a firm’s requests are processed FINRA recommends that Firm Profile data be updated on regular basis (quarterly or as soon as there are changes) Detailed instructions for creating/updating this information are available in the eAnalytics Firm User Guide document, section VI. Firm Profile http://www.finra.org/sites/default/files/external_apps/e AnalyticsFirmUserGuide.pdf 3

Accessing Firm Profile Information The Firm Profile can be accessed two different ways Click on the firm name located above the Data Quality Scorecard (DQS) Click on the Firm Profile tab next to the List of Firm Filings Firm Profile information consists of three (3) tabs 4

Firm Profile Information – Firm Info Tab This tab shows the firm’s contacts information. This is a “Read-Only” pane, as this information is provided through the Entitlement system Add/Remove is a Read-Only pane for the firms FINRA creates multiple profiles if the firm submits more than one stock records 5

Firm Profile Information – Firm Profile Tab The following information must be provided for each Firm Profile Grand Total Algorithm Methodology – this is the method describing how the firm submits the Grand Total (if the firm’s Stock Record splits across multiple files, a Grand Total may be provided in every SR file, or a total per file must be summed up into Grand Total) 6

Firm Profile Information – Firm Profile Tab The following information must be provided for each Firm Profile Factor Calculation Default – this is a Yes/No indicator applicable to NEGATIVE or ZERO values provided as Factor in the firm’s data when the Factor is used in any report calculations (If Yes is selected and the firm submits negative or zero Factor values, the FINRA system will default these values to 1. If No is selected, the FINRA system will use the submitted value) 7

Firm Profile Information – Firm Profile Tab The following information must be provided for each Firm Profile Account Mappings - list of unique account type codes that are provided on the Stock Record with a one line descriptions; each code must map to one of the three FINRA Account Types: Cash, Margin or Not Applicable 8

Firm Profile Information – Firm Profile Tab The following information must be provided for each Firm Profile Allocation Pair Off Mappings – firm is required to identify their pair off sequences as provided in the APOH File and map it to the FINRA pair off sequences 9

Firm Profile Information – Firm Profile Tab The following information must be provided for each Firm Profile Branch information - list of all Brach codes provided in the Stock Record file and a one line description to identify these branches File types – this is a Read-Only pane for the firms 10

Firm Profile Information – DTCC Info Account Mappings - this pane allows firms to map their Stock Record accounts to one of the 14 DTCC Accounts Same format as in the Stock Record 11

Firm Profile Information – DTCC Info Participant Mappings – this is a list of all current DTCC Participant IDs for the firm 12

Firm Profile Information – DTCC Info Fractional Share Methodology - this pane is used to indicate adjustments required for any fractional shares in the Stock Record. If the firm provides any split out fractional share records with a multiplier other than 100,000 then that multiplier should be entered here Numeric values are limited to 18 decimals 13

#2. File Naming Conventions Same naming conventions apply to manual submissions (via Request Manager) and to automated submissions (via SFTP) Each file (i.e. compressed container or single data file) must be named as: <ItemNumber>_<SequenceNumber>_<FileName>.<File Extention> <ItemNumber>, a 7 digit numeric identifying a unique item within a request FINRA provided and used by FINRA systems for file processing <SequenceNumber> for that date and file type. For example: If a single data file is broken into 10 smaller files, then the sequence number represents each file in sequential order. 1,2,3, …. 10. If a single file is provided then the sequence number will be defaulted to one (1). <FileName>, a schema file name (e.g., SR, SADT) for an XML or zipped XML file. For a text file this may be any free text used to identify the file. <FileExtention>, such as “.xml”, “.txt” or “.zip” Examples SR file is submitted as a single data file: 1234567_1_SR.xml SR file is broken into multiple smaller files: 1234567_2_SR.xml 1234567_3_SR.xml 14

#3. Submission through Request Manager Request Manager via Firm Gateway can be accessed from URL for UAT: https://firmstest.finra.org URL for PROD: https://firms.finra.org Contact you Super Account Administrator (SAA) for accounts and entitlements General Information on Request Manager is available at http://www.finra.org/industry/request-manager Request Manager User Guide is available at http://www.finra.org/sites/default/files/request-manager- user-guide.pdf 15

Submission through Request Manager After logging into Firm Gateway, choose the Information Requests tab from the top navigation 16

Submission through Request Manager Search by Case ID or Request ID by clicking on the column heading or using 'Enter Filter Text' field. The Case ID and Request ID are available in the Record Request Notification email 17

Submission through Request Manager View Requested Data, Attach Files, Send Response 18

#4. Submissions via SFTP To ensure successful file transfer, please ensure that connections are configured as follows: Configure UAT and Production connections Destination folder must be ‘stockrecord/in’ Information about SFTP Account and Password assistance is available at http://www.finra.org/sites/default/files/external_apps/stockrecord.html Once all files are transferred, use Request Manager to Send Response 19

Help/Resources FINRA Support Team FINRA Firm Support Distribution List FINOPS_FIRM_SUPPORT@finra.org Web Resources http://www.finra.org/sites/default/files/external_apps/stockrecord.html Contains FINRA Contacts, Documentation and Connection Information 20