This page includes links to information that will provide users of PFRD with guidance regarding the PFRD system and making electronic filings.
**Technical Notice for Web Service Users**
Newer SSL (secure socket layer) certificates use a more robust encryption method, called SHA-2. FINRA is installing new certificates for the PFRD Web Service on Saturday, March 5, 2016. We do not expect there to be any issues, as most modern operating systems and tools have supported SHA-2 certificates for some time.
This change does not impact firms that submit Form PF as an online form, or that use the manual XML upload function within PFRD. Only firms that connect to the Web Service are potentially affected, and we recommend confirming that your system supports SHA-2 certificates. If you use a third-party software product to upload your filings, please contact your software vendor if you experience any issues after March 5, 2016.
PFRD System Reference Tools & Job Aides
Form PF Schema Files & Release Notes
The ZIP file below provides sample Form PF XML files and explanatory information. These documents are updated periodically to reflect changes made to the Form PF form filing schema. System changes that do not impact the schema are documented in the release notes.
Form PF filings submitted via XML upload must also comply with the completeness checks and business rules applied to the Web form version of Form PF.
PFRD Web Service Accounts (create account or modify access)
Firms that choose to submit Form PF filings via data file transfer (i.e., machine-to-machine) are able to establish a Web Services account with FINRA for this purpose. To do so, firms are now required to telephonically request from FINRA a PFRD Web Services Entitlement Form (Entitlement Form). This form is no longer publicly available. To obtain this form, an Authorized Signatory of your organization must contact the IARD Call Center at (240) 386-4848. An Authorized Signatory is defined as the Chief Compliance Officer (CCO) or Additional Regulatory Contact (ARC) listed on your firm's current Form ADV.
- Once a request is received to establish a Web Services Account, the FINRA Entitlement Group will confirm that the identity of the requester (Authorized Signatory), matches the contact information filed on your firm's most recently filed Form ADV.
- FINRA will then generate an Entitlement Form. This form will include pre-populated information such as Firm CRD number, name, etc., as well as a unique identifier assigned by FINRA.
- FINRA will send the Entitlement Form to the Authorized Signatory's email address, facsimile number or physical location as listed on your firm's latest Form ADV.
- Upon receipt of a completed Entitlement Form, FINRA will create a Web Services Account for your firm. It may take up to four business days to create an account.
Note: Due to the unique environment for data file transfers, only FINRA can create or modify Web Service Accounts - Super Account Administrators or Account Administrators cannot create or modify this type of account. Subsequent changes to your firm's Web Service Account must be made through the process listed above. However, firms cannot re-use an Entitlement Form as each form contains a one-time use unique identifier.
For questions or to request an Entitlement Form, contact, the IARD Call Center at (240) 386-4848.
PFRD User Testing
If you are a Form PF filing firm and would like information on accessing a test environment to submit test filings prior to making your production Form PF submissions, contact FINRA’s PFRD Support Team at PFRDSupport@finra.org. Please include your name and firm CRD number.
PFRD Other Helpful Information
Contact Information for Help with PFRD
Questions regarding Form PF filing requirements or policy issues should be directed to the SEC at (202) 551-6999 or FormPF@sec.gov.
Technical questions regarding the PFRD system should be directed to FINRA at (240) 386-4848 or PFRDSupport@finra.org.