Web API Specification for the
OTC Reporting Facility
File Downloads - ORF
Version 15.1
August 20, 2024
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
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Table of Contents
Revision History ............................................................................................................................................ 3
Introduction .................................................................................................................................................. 5
Access to the Download API ......................................................................................................................... 5
Acquiring the Refresh Token in TRAQS ........................................................................................................ 6
Requesting An Access Token ........................................................................................................................ 9
Requesting a File with an Access Token ..................................................................................................... 10
Corporate Actions ....................................................................................................................................... 11
Next Day Dividends .................................................................................................................................... 11
Protocol ...................................................................................................................................................... 12
File Availability – All Times are Approximate ............................................................................................. 12
URL Parameters .......................................................................................................................................... 13
File Definitions - All Files are Pipe Delimited .......................................................................................... 15
ORF - Equity Security Master File (Active and Inactive) ..................................................................... 15
ORF – Security Daily List ..................................................................................................................... 17
ORF - Equity Participant Master File ................................................................................................... 19
ORF - Equity Participant Daily List ...................................................................................................... 20
ORF - Equity Clearing Relationship File............................................................................................... 20
ORF - Equity US Agreements File ........................................................................................................ 21
ORF – Explicit Fee File ......................................................................................................................... 21
ORF - Next Day Dividend File .............................................................................................................. 22
Example Requests................................................................................................................................... 23
Example 1 - Get the current Active Equity Security Master file ......................................................... 23
Example 2 - Get the current Inactive Equity Security Master file ...................................................... 23
Example 3 - Get the Security Daily List ............................................................................................... 23
Example 4 - Get the Security Daily List Delta ..................................................................................... 23
Example 5 - Get the Security Daily List for a Specific Day (11/17/2014) ............................................ 23
Example 6 - Get the current Equity Participant Master file ............................................................... 23
Example 7 - Get the current Equity Participant Daily List .................................................................. 23
Example 8 - Get the current Equity Participant Daily List Delta ......................................................... 23
Example 9 - Get the current Equity Participant Daily List for a Specific Day (11/17/2014) ............... 23
Example 10 - Get the current Equity Clearing Relationship Master file ............................................. 23
Example 11 - Get the current Equity US Agreements Master file ..................................................... 23
Example 12 - Get the current Explicit Fee file .................................................................................... 24
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Example 13 - Get the Next Day Dividend with Specific Next Day Date Included (5/11/2015) .......... 24
Sample Results........................................................................................................................................ 25
Active Equity Security Master File Illustrating the Header and Footer .............................................. 25
Equity Participant Master File Illustrating the Header and Footer .................................................... 25
Equity Clearing Relationship Master File Illustrating the Header and Footer .................................... 26
Equity US Agreements Master File Illustrating the Header and Footer ............................................. 26
Explicit Fee File Illustrating the Header and Footer ........................................................................... 26
Appendices ................................................................................................................................................. 27
Appendix A – Version 2.0 Summary of Changes .................................................................................... 27
Equity Security Master File ................................................................................................................. 27
Daily List File ....................................................................................................................................... 27
Added - Equity Participant Daily List Data Layout .............................................................................. 28
Appendix B – Daily List Reason Code Descriptions: ............................................................................... 29
Appendix C – Equity Master Security Type Cd Descriptions: ................................................................. 31
Programmatic Access Example(curl) .......................................................................................................... 32
Example using the Equity Security Master (Active) ................................................................................ 32
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Revision History
Version
Date
Changes Made
Version 1.0
February 10, 2014
• Original version of specification
Version 2.0
March 19, 2014
• Changes are described in Appendix A – Version 2.0
Summary of Changes
Version 3.0
April 22, 2014
• Add field length (14) for FINRA_OTC_ID.
• Change field length from 11 to 15 bytes for:
ADR_ORDNY_SHARE_RT; OLD
ADR_ORDNY_SHARE_RT; and NEW
ADR_ORDNY_SHARE_RT
Version 4.0
June 10, 2014
• CLASS_TX Description – Relates to Class or Series of
Security
• SUBJ_CRPRT_ACTN_CD – Values changed from Y/N
to CA/CD
• Appendix B - Included table of values for
DAILY_LIST_RSN_CD
Version 5.0
September 9, 2014
• Added value definitions for Offering Type
(OFRNG_TYPE_CD)
• Added value definitions for Financial Status Indicator
(FNNCL_STTS_CD)
• Defined field as ratio for ADR to Ordinary Share
Ratio (ADR_ORDNY_SHARE_RT)
• Defined field as ratio for Forward Split Ratio
(FRWRD_SPLIT_RT) and Reverse Split Ratio
(RVRS_SPLIT_RT)
• Added Daily List Reason Codes in Appendix B and
Descriptions, RSFS: SCAFR; F1534
• Added Appendix C – Equity Master Security Code
Descriptions (SCTRY_TYPE_CD) table
Version 6.0
October 16, 2014
• Added Daily List Reason Code FSCL (Financial Status
Change Liquidation)
• Modified Equity Master Security Type Code
Description of Preferred Stock from PRES to PRFS
• Added Corporate Actions statement related to the
potential inclusion of fixed income data in the Daily
List
Version 7.0
March 16, 2015
(effective June 1, 2015)
• Included additional Daily List Reason
Codes/Descriptions specific to market change events
Version 8.0
May 8, 2015
(effective June 1, 2015)
• Added Next Day Dividend Query and Data File
Version 9.0
December 1, 2015
(effective February 1, 2016)
• Added Record ID field to the Daily List
• Added Offering Type value of “Accredited Investors’
to the Master File and Daily List
• Modified format of following Daily List fields to 6v6:
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Version
Date
Changes Made
ADR Dividend Fee
ADR Tax Relief Fee
ADR Issuance Fee
ADR Withholding Tax
Stock Percentage
Version 9.0a
December 15, 2015
(effective April 4, 2016)
Data changes originally scheduled for February 1, 2016
moved to be effective on April 4, 2016
• Added Record ID field to the Daily List
• Added Offering Type value of “Accredited Investors’
to the Master File and Daily List
• Modified format of following Daily List fields to 6v6:
ADR Dividend Fee
ADR Tax Relief Fee
ADR Issuance Fee
ADR Withholding Tax
Stock Percentage
Version 10.0
September 20, 2017
Added IEX Market Center Changes in Appendix B
Version 11.0
November 30, 2017
(effective March 12, 2018)
Added Record Id to the Next Day Dividend file
Version 12.0
September 16, 2021
• Replaced references to the OATS rules with
references to FINRA's CAT Compliance Rules.
• Removed all references to OTCBB
Version12A
October 5, 2021
• “u” remains as Other OTC Security (redefinition will
occur at a later time)
Version 13.0
April 14, 2022
• “u” redefined as OTC Equity
Version 14.0
September 23, 2022
• Added “ETN” Exchange Traded Note to Appendix C
Version 15.0
April 29, 2024
• Removed certificate references and added new
M2M API information
• New string URL – starts with apidownload
Version 15.1
August 20, 2024
• Added new Requesting a File with an Access Token
section
• Updated username description in Requesting and
Access Token section
• Added an ‘s’ to the http in the Programmatic Access
Example
• Updated Explicit Fee URL
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Introduction
The FINRA TRACE Reporting and Quotation Service is a system developed which consolidates the various fixed
income and equity reporting facilities FINRA currently maintains (e.g., TRACE, ADF, OTC Equity Reporting, etc…)
into a single platform. The secure web interface offers member firms enhanced reporting and data retrieval
functionality.
The Download site for ORF supports clients via a Web Application Programming Interface (API) to download
security master files, daily lists, and other files.
This document pertains specifically to ORF. This document outlines the parameters and values for each
available ORF file. The data in each of these files is current as of the time of download.
Access to the Download API
Clients who wish to programmatically access the API must request a Refresh Token via the TRAQS Website with
their OKTA profile login. This Refresh Token will be used to obtain an Access Token. This Access Token will use a
“Bearer Token,” which will allow clients to request the API files without having to collect credentials.
The Refresh Token is valid for 6 months. The Access Token expires every hour (3600 seconds). It is the client’s
responsibility to programmatically request a new Access Token when it expires using the Refresh Token.
To access TRAQS, a username, password, and NASDAQ Multi-Factor Authentication (MFA) is required. To
establish a TRAQS username, please consult your Super Account Administrator (SAA) and use the Participant
Data Management (PDM) system.
The data contained in the API files are maintained by FINRA Operations. For questions concerning the data,
PDM, or to access the files, please contact FINRA Operations at (866) 776-0800 option 2 or
FINRAOperations@finra.org. For technical questions or issues accessing the files, please contact FINRA Client
and System Management at FINRA-TSCSM@finra.org.
Access to the File Domain
Equity file downloads use the NASDAQ Web Security Framework (NWSF) for authentication (proper client
authorization for access to particular files must be in place). In order to access the site and download files, a user
needs to present a valid NWSF account/password and client certificate with access to the application.
The data contained in these files are maintained by FINRA Operations. For questions concerning the data, or to
subscribe to receive these files, please contact FINRA Operations at (866) 776-0800 or
FINRAOperations@finra.org. For technical questions or issues accessing the files, please contact FINRA Product
Management at (866) 899-2107 or FINRAProductManagement@finra.org.
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Acquiring the Refresh Token in TRAQS
1. Log into TRAQS and authenticate using MFA.
2. Click API from the Main Menu.
3. Click Programmatic from the Download Menu (this is where the Refresh Token is obtained).
4. Click Get Token from the API Download Programmatic screen.
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5. After requesting the Refresh Token, the system will ask you to Authenticate again. If successful, the user
will be brought back to the API Download Programmatic screen and the Refresh Token information will
be populated under the “Current Token” portion of the screen.
6. Click Copy Token and paste the Refresh Token into your script.
7. Add code to your script to request an Access Token.
8. Upon logging into the API domain from your application, your application will request a new Access
Token from the TRAQS download server.
9. Your application will apply the new Access Token to the download API request call.
1.10. On success, the requested data will be returned to your application.
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11. The user has the ability to Revoke the current Refresh Token at any time, by clicking Revoke Token. This
will inactivate the current Refresh Token and it will move to the Prior Token portion of the screen.
12. If the current Refresh Token is expired, click Get Token which will generate a new Refresh token and the
expired Refresh Token will move to the Prior Token portion of the screen.
Note: Users will be notified via email 15 days prior to Refresh Token expiration. You cannot download
the API files if the Refresh Token or Access Token are expired. Refresh Tokens that expire will need to
be requested manually following step 3 above and updated in your script.
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Requesting An Access Token
To programmatically request a new Access Token, clients will send a POST request to
https://apidownload.finratraqs.org/refresh
In the body of the request, you will need to supply values to the following required parameters.
refreshtoken – refresh token request from the TRAQS website
username – the TRAQS username NOT the email address the NWSF username was used to initially
request the legacy API.
This will return the following sample JSON response:
{
"token_type": "Bearer",
"expires_in": 3600,
"access_token":
"eyJraWQiOiIwVlRIdEFidXZFOUVzVkNkNGtYS3FIYXU5ZWJqbHRRbENSMXc4MGJPTTgwIiwiYWxnIjoiUlMyNTYifQ.e
yJ2ZXIiOjEsImp0aSI6IkFULklhY3FWeDFSOUs3dmVNWGhFU09iOEhNNHZEaGE1Q1Fma2pEQVlzOXM4R0kub2FyNnFzd2
hxbGR0RzV4cUoweDYiLCJpc3MiOiJodHRwczovL21wcC10ZXN0Lm5hc2RhcS5jb20vb2F1dGgyL2RlZmF1bHQiLCJhdWQ
iOiJhcGk6Ly9kZWZhdWx0IiwiaWF0IjoxNzEyNTkyOTY5LCJleHAiOjE3MTI1OTY1NjksImNpZCI6IjBvYTV3bHA0ZXF4
c05PWlRqMHg3IiwidWlkIjoiMDB1cWwybXltZWhqQ250bzMweDYiLCJzY3AiOlsib2ZmbGluZV9hY2Nlc3MiXSwiYXV0a
F90aW1lIjoxNzExMDc2NDM1LCJzdWIiOiJsdWlzLmJhbGxlbmFAbmFzZGFxLmNvbSIsInFjX3VzZXJuYW1lIjpbImJhbG
xlbmFsIiwibGJhbGxlbmEiLCJsYmFsbGVuYTEiLCJiYWxsZW5hbDEiLCJsdWlzYmFsIiwiYmFsbGx1aXMiLCJsdWJhbGw
iLCJiYWxsbmZzYyJdfQ.FuBh5F0gdLLUxeJbSkfXxpqVDuIjCEi22hn5P9_nexbEJjstAueWYe8T3mVoyGdmJa9-
jdMwsj_OodJeqk0E-4J9tpXZ1roc609K4lk5BM1wQDxlgZp2ToWbbYI-
VQYQ_49cZxFGX_6ih43TrsmQcA_lQoeYRrTzThET5NH_Q5RIQxKmkYiWXQRmXu0mhwjnc74jCjBY8t96tLoy-3OwDCP-
k_Fz7UNqCUIv1MtWqcp3zWgfhPsvswV4eRfj2iSgEwH_A4acpkxTSMWmauXbCeliMfFdnyrQR1sA055-9WH9pJ-
c2MsB4cpNRO9n0tC3SKWD5l6aFTgE1KiLnIvPKQ",
"scope": "offline_access",
"refresh_token": "Zr0_0q3fSmXJXhHNQWs7YBXyt-OFftUMIqywc8VIxHI"
}
The Access Token will be in the JSON response.
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Requesting a File with an Access Token
To programmatically request a file, clients will send a request to the specified API URL request – e.g.
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=PARTICIPANT&facility=OR
F [apidownload.finratraqs.org] (see URL Parameters and Example Request sections for more information).
The following must be considered when sending the request:
1. All API file requests must be a secure request using https.
2. The API Request must use Authorization Bearer as the authentication type. Therefore, your header in
your request but include “Authorization: Bearer <Access Token>” (see Requesting an Access Token
section).
3. All API files request must be a POST request, and include following the parameters in the body of the
request:
− username=<assigned username> (<assigned username> is the assigned TRAQS username NOT
the email address).
Example request using CURL
curl -s -OJ -X POST
--url
"https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=PARTICIPANT&fac
ility=ORF [apidownload.finratraqs.org]
--header "Authorization: Bearer
"eyJraWQiOiIwVlRIdEFidXZFOUVzVkNkNGtYS3FIYXU5ZWJqbHRRbENSMXc4MGJPTTgwIiwiYWxnIjoiUlMyNTYifQ.e
yJ2ZXIiOjEsImp0aSI6IkFULklhY3FWeDFSOUs3dmVNWGhFU09iOEhNNHZEaGE1Q1Fma2pEQVlzOXM4R0kub2FyNnFzd2
hxbGR0RzV4cUoweDYiLCJpc3MiOiJodHRwczovL21wcC10ZXN0Lm5hc2RhcS5jb20vb2F1dGgyL2RlZmF1bHQiLCJhdWQ
iOiJhcGk6Ly9kZWZhdWx0IiwiaWF0IjoxNzEyNTkyOTY5LCJleHAiOjE3MTI1OTY1NjksImNpZCI6IjBvYTV3bHA0ZXF4
c05PWlRqMHg3IiwidWlkIjoiMDB1cWwybXltZWhqQ250bzMweDYiLCJzY3AiOlsib2ZmbGluZV9hY2Nlc3MiXSwiYXV0a
F90aW1lIjoxNzExMDc2NDM1LCJzdWIiOiJsdWlzLmJhbGxlbmFAbmFzZGFxLmNvbSIsInFjX3VzZXJuYW1lIjpbImJhbG
xlbmFsIiwibGJhbGxlbmEiLCJsYmFsbGVuYTEiLCJiYWxsZW5hbDEiLCJsdWlzYmFsIiwiYmFsbGx1aXMiLCJsdWJhbGw
iLCJiYWxsbmZzYyJdfQ.FuBh5F0gdLLUxeJbSkfXxpqVDuIjCEi22hn5P9_nexbEJjstAueWYe8T3mVoyGdmJa9-
jdMwsj_OodJeqk0E-4J9tpXZ1roc609K4lk5BM1wQDxlgZp2ToWbbYI-
VQYQ_49cZxFGX_6ih43TrsmQcA_lQoeYRrTzThET5NH_Q5RIQxKmkYiWXQRmXu0mhwjnc74jCjBY8t96tLoy-3OwDCP-
k_Fz7UNqCUIv1MtWqcp3zWgfhPsvswV4eRfj2iSgEwH_A4acpkxTSMWmauXbCeliMfFdnyrQR1sA055-9WH9pJ-
c2MsB4cpNRO9n0tC3SKWD5l6aFTgE1KiLnIvPKQ",
"
--data "username=Finrausr”
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Corporate Actions
FINRA reviews and processes documents relating to announcements for company-related actions pursuant to
Rule 10b-17SEC (SEA) for both Equity and Fixed Income securities. These documents include both equity and
fixed income announcements of dividends or other distributions in cash or in kind, except an ordinary interest
payment on debt security. In addition, Uniform Practice Code (“UPC”), section 11150 (a&b) prescribes the steps
for the establishment of “Ex-Interest” for all transactions, except “cash”, in bonds or similar evidences of
indebtedness which are traded "flat". Therefore, Daily List information included as a result of a query may
include both equity and fixed income data related to these corporate actions.
Next Day Dividends
Users may download next day dividend files which will detail issues which have a corporate action scheduled for
the following day. The following rules detail how this query and responses to the query will work:
- The query for a next day dividend file will be limited to one day forward from the current day (T+1).
Users cannot query for a day past T+1. For example, if the current day is 4/22 a search of 4/23 is
permitted but not a search for 4/24. Stating the query without a specific day specified will return the
next day’s (T+1) dividend file.
- A query for a past date may be enacted. The user is allowed to go back in time to search a previous next
day ex-date file. The file returned will be for the actual next day ex-date data.
- If the user elects to query for past day’s data, then they must include the date they wish to retrieve. The
query response will detail that day’s “next day ex-date file” i.e. a back date query performed on 4/7 for
a date of 4/1 is actually what would have been queried on 3/31 to receive 4/1 data.
Usage of Record ID field in a Next Day Dividend File:
Example for any record returned if there are other dividend records with the same Record ID:
New Dividend Record ID 111 published on 4/25/2017, with ex-date of 5/1/2017.
Ex date changed to 5/3/17, this change is published on 4/30.
Ex date changed to 5/5/17, this change is published on 5/1.
All records will now have Record ID of 111.
In the past, depending on the date searched, users could access dividend records that had subsequently been
updated. Now, that file will only provide dividends where the latest version of the dividend has an ex-date
matching the date in the API query string. For example, using the same scenario as above:
- On 5/1/2017, a firm pulls the Next Day Dividend File for the date of 5/1 – it will also NOT get a result for
record ID 111, since as of 4/30, the record now has an Ex Date of 5/3.
- On 5/2/2017, the firm pulls the Next Day Dividend File for 5/3, they will NOT get a result for record ID
111, since that record now has an ex-date of 5/5.
- On 5/4/2017, the firm pulls the Next day Dividend File for 5/5 and WILL get the latest version of Record
ID 111, with ex-date set to 5/5.
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Protocol
FINRA’s API download site provides access to files using standard HTTP Secure (https) protocol. It is a
combination of the Hypertext Transfer protocol and the TLS protocol to provide encrypted communications and
secure identification. The URL https://apidownload.finratraqs.org is the domain where the files reside. In order
to access file reference data users should refer to the query strings detailed in this specification. Examples of
actual download query strings are available in later sections of this specification.
File Availability – All Times are Approximate
File
When Available
Security Master
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 p.m. ET
Security Daily List
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 p.m. ET
Participant Master
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 p.m. ET
Participant Daily List
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 pm. ET
Participant Clearing Number
Relationship
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 p.m. ET
Participant Agreements
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 p.m. ET
Explicit Fee Agreement
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 p.m. ET
Next Day Dividend
Real time starting at 7:00 a.m. ET and throughout the day until
8:00 p.m. ET
NOTE: Users may attempt to access the files on non-business days; however, due to server maintenance which
occurs on weekends and other non-business days it is possible the user will not have immediate success in
access the data during these days.
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URL Parameters
Parameter
Parameter Options
action
DOWNLOAD - provide the file.
DELTA – provide the changes since the last time the user downloaded the file.
Delta actions are supported for Security Daily List and Participant Daily List files.
NOT for the Security Master, Participant List, US Agreements, Explicit Fee or
Next Day Dividends files.
facility
ORF
files
EQUITYMASTERAC – Equity Security Master File Active issues
EQUITYMASTERIN –Equity Security Master File Inactive issues
DAILYLIST – Security Daily List for OTC Reporting Facility
PARTICIPANT – Equity Participant Master File
PDAILYLIST– Equity Participant Daily List
EQUITYCLEAR – Equity Clearing Relationship File
EQUITYUSA – Equity US Agreements File
EXPLICITFEE – Explicit Fee Agreement File
NXTDAYDIV – Next Day Dividend File
File
Query Parameters
Equity Security Master
Active issues
action=DOWNLOAD&file=EQUITYMASTERAC&facility=ORF
Equity Security Master
Inactive issues
action=DOWNLOAD&file=EQUITYMASTERIN&facility=ORF
Security
Daily List
action=DOWNLOAD&file=DAILYLIST&facility=ORF
Security
Daily List delta
(see note 1)
action=DELTA&file=DAILYLIST&facility=ORF
Security
Daily List
for a specific day
action=DOWNLOAD&file=DAILYLIST&facility=ORF&day=11/17/2014
Equity Participant
Master
action=DOWNLOAD&file=PARTICIPANT&facility=ORF
Equity Participant
Daily List
action=DOWNLOAD&file=PDAILYLIST&facility=ORF
Equity Participant
Daily List delta
(see note 1)
action=DELTA&file=PDAILYLIST&facility=ORF
Equity Participant
Daily List
for a specific day
action=DOWNLOAD&file=PDAILYLIST&facility=ORF&day=11/17/2014
Equity Clearing
Relationship
action=DOWNLOAD&file=EQUITYCLEAR&facility=ORF
Equity US Agreements
action=DOWNLOAD&file=EQUITYUSA&facility=ORF
Explicit Fee
action=DOWNLOAD&file=EQUITYEXPLICITFEE&facility=ORF
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File
Query Parameters
Next Day Dividend with
specific next day date
included
action=DOWNLOAD&file=NXTDAYDIV&facility=ORF&day=5/11/2015
NOTE 1: All requests are categorized and recorded. When a DELTA request is made, the time of the previous
request is used to determine the items that appear in the DELTA results. The time used for the previous request
is the time of request minus two minutes. This ensures that no updates are missed but it can mean items from a
previous request may appear in the next DELTA request. Systems should be coded with this in mind.
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File Definitions - All Files are Pipe Delimited
ORF - Equity Security Master File (Active and Inactive)
Field Name (Header)
Description
Comments
Maximum
Length
FINRA_OTC_ID
FINRA OTC Security ID
Symbol
Security Id generated by
FINRA RDMS System.
14
CUSIP_ID
CUSIP
This field will be blank for
firms that do not have a
CUSIP license in place.
9
SYM_CD
Security Symbol
Local exchange symbol.
14
SYM_SUF_CD
Symbol Suffix
7
SCRTY_DS
Security Description
Security
Description/Name.
250
RND_LOT_QT
Round Lot Size
Min. number of shares
that can be purchased
without incurring a larger
fee.
4
CPN_RT
Coupon Rate
6
DTC_ELGBL_FL
DTC Eligibility Flag
Indicates if security is
eligible to be delivered
through a computerized
system established by
DTCC.
1
SCRTY_TYPE_CD
Security Type
Security Type
Description.
4
WIS_DSTRD_CD
When Issued Flag
Indicates if the security
does not have a firm
settlement. WI or WD.
2
STTS_CD
Status Code
Indicates if security is
active, inactive, or
terminated.
1
NACTV_DT
Inactive date and time
Format is
YYYYMMDDHHMMSS
14
TEST_SCRTY_FL
Test Security Flag to
indicate whether the
security is used for
testing. Default value will
be ‘N”
1
PRICE_CK_FL
Price Check Flag
1
SCRTY_EFCTV_TS
Security effective time
stamp
Format is
YYYYMMDDHHMMSS
14
SIP_SYM_ID
SIP Symbol
21
OTCBB_QUOTE_FL
Y or N
1
CLASS_TX
Class or Series of Security
2
OFRNG_TYPE_CD
Offering Type
A – 144A
1
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Field Name (Header)
Description
Comments
Maximum
Length
S – Reg S
B – 144A and Reg S
N – No Restrictions
I – Accredited Investors
MTRTY_XPRTN_DT
Maturity/Expiration date
Format is
YYYYMMDDHHMMSS
14
NSCC_ELGBL_FL
NSCC Clearing Eligible
Flag
1
DSMTN_FL
Dissemination Flag
1
SUBJ_CRPRT_ACTN_CD
Subject to Corporate
Action
CA – Corporate Action
without a distribution
CD – Corporate Action
with a distribution
2
ADR_ORDNY_SHARE_RT
ADR to Ordinary Share
Ratio
Ratio
15
BRKR_PRTCT_PRD_FL
Broker Protect Period
Flag
1
PGYBK_ELGBL_FL
Piggyback Eligible Flag
The security has been
quoted for at least 12
business days during the
preceding 30 calendar
days, with no more than
four business days in
succession without a
quotation.
• Y (Piggyback Eligible)
• N (Not Piggyback
Eligible)
1
REG_FEE_FL
Reg Fee Flag
N if Offering Type is144A
or 144A and Reg S; Y if
Offering Type is No
Restrictions or Reg S
1
REG_SHO_FL
Reg SHO Flag
1
RULE_4320_FL
4320 Flag
1
OATS_RPTBL_FL
OATS Flag
1
FNNCL_STTS_CD
Financial Status Indicator
E - Delinquent
Q – Bankrupt
J - Delinquent and
Bankrupt
L - Liquidation
H -Liquidation and
Delinquent
1
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Field Name (Header)
Description
Comments
Maximum
Length
M -Bankruptcy
Reorganization
(Emerged)
LAST_UPDT_TS
Timestamp value when
record was created
Format is
YYYYMMDDHHMMSS
14
ORF – Security Daily List
Field Name (Header)
Description
Comments
Maximum
Length
DAILY_LIST_TS
Daily List Date/Time
YYYYMMDDHHMMSS
format.
14
DAILY_LIST_EVENT_CD
Daily List Event Type
Valid values are:
SA - Security Addition
SC – Security Change
SD – Security Deletion
DA – Dividend Addition
DC – Dividend Change
DD – Dividend
Deletion/Cancellation
Note: for corporate actions
where the security attribute
changes and a distribution is
announced (i.e., Forward
Split, Reverse Split, Stock
Dividend or Split, Reverse
Split followed by Forward
Split), the Change Type shall
be Dividend Addition.
2
OLD_SYM_CD
Old Symbol
14
NEW_SYM_CD
New Symbol
14
OLD_CUSIP_ID
Old CUSIP
9
NEW_CUSIP_ID
New CUSIP
9
OLD_SCRTY_DS
Old Security Description
250
NEW_SCRTY_DS
New Security Description
250
OLD_FNNCL_STTS_CD
Old Financial Status
Indicator
1
NEW_FNNCL_STTS_CD
New Financial Status
Indicator
1
OLD_OATS_RPTBL_FL
Old OATS Reportable Flag
1
NEW_OATS_RPTBL_FL
New OATS Reportable Flag
1
OLD_RND_LOT_QT
Old Unit of Trade
4
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Field Name (Header)
Description
Comments
Maximum
Length
NEW_RND_LOT_QT
New Unit of Trade
4
OLD_CLASS_TX
Old Class or Series of
Security
2
NEW_CLASS_TX
New Class or Series of
Security
2
OLD_ADR_ORDNY_SHARE_RT
Old ADR Ratio
Ratio
15
NEW_ADR_ORDNY_SHARE_RT
New ADR Ratio
Ratio
15
OLD_REG_FEE_FL
Old Reg Fee Flag
1
NEW_REG_FEE_FL
New Reg Fee Flag
1
OLD_MTRTY_XPRTN_DT
Old Maturity Date
YYYYMMDDHHMMSS
format.
14
NEW_MTRTY_XPRTN_DT
New Maturity Date
YYYYMMDDHHMMSS
format.
14
OLD_MKT_CTGRY_CD
Old Market Category Code
u – OTC Equity
1
NEW_MKT_CTGRY_CD
New Market Category
Code
u – OTC Equity
1
OFRNG_TYPE_CD
Offering Type
A – 144A
S – Reg S
B – 144A and Reg S
N – No Restrictions
I – Accredited Investors
1
SUBJ_CRPRT_ACTN_CD
Subject to Corp Action
CA – Corporate Action
without a distribution
CD – Corporate Action with a
distribution
2
DCLRN_DT
Declaration Date
YYYYMMDDHHMMSS
format.
14
PYMNT_DT
Payment Date
YYYYMMDDHHMMSS
format.
14
EX_DT
This is the “change
effective date”, i.e., the
effective date of the
change being announced
on the Daily List or the Ex
Date of the Dividend.
YYYYMMDDHHMMSS
format.
14
REC_DT
Record Date
YYYYMMDDHHMMSS
format.
14
FRWRD_SPLIT_RT
Forward Split Ratio
Ratio
10
RVRS_SPLIT_RT
Reverse Split Ratio
Ratio
10
STOCK_PT
Percentage
Decimal
12; 6 after
the decimal
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Field Name (Header)
Description
Comments
Maximum
Length
CASH_AMT_TX
Cash Amount
Decimal
25
PYMNT_MTHD_CD
Payment Method
3
ADR_FEE_AM
ADR Dividend Fee
Decimal
12; 6 after
the decimal
ADR_TAX_RLF_AM
ADR Tax Relief Fee
Decimal
12; 6 after
the decimal
ADR_GROSS_RT
ADR Gross Rate
Decimal
18; 7 after
the decimal
ADR_NET_RT
ADR Net Rate
Decimal
18; 7 after
the decimal
ADR_ISSNC_FEE_AM
ADR Issuance Fee
Decimal
12; 6 after
the decimal
ADR_WHLDG_TAX_PT
ADR Withholding Tax
Decimal
12; 6 after
the decimal
QLFD_CD
Qualified Dividend Code
1
DAILY_LIST_RSN_CD
Change Reason
Description
Refer to Appendix B for
values and descriptions
5
CMMNT_TX
Comments
500
DVDND_MSTR_ID
Record ID
Will be a number that
identifies a
Dividend/Distribution
announcement and allows
the user to tie a change to
the original announcement
of an action. Only populated
if the event type is DA, DD,
or DC.
10
ORF - Equity Participant Master File
Field Name
(Header)
Description
Comments
Maximum
Length
MPID
Market Participant Identifier
FINRA identifier assigned to the
participant.
6
DBA_NM
Firm Name
64
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
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ORF - Equity Participant Daily List
Field Name
(Header)
Description
Comments
Maximum
Length
list_dt
Daily List Date
Format is
MMDDYYYY
effective_dt
Effective Date
Format is
MMDDYYYY
cd_description
Event Type
Valid values are:
Participant Addition
Participant Deletion
Participant Change
old_mpid
Market Participant Identifier
6
old_dba
Firm Name
64
new_mpid
New Market Participant
Identifier
6
new_dba
New Firm Name
64
rf_cd
Reporting Facility
Value will always be ORF
ORF - Equity Clearing Relationship File
Field Name
(Header)
Description
Comments
Maximum
Length
MPID
MPID of the Client
FINRA identifier assigned to the
participant.
6
CLRG_ORG_NB
Clearing Number of Clearing
Org used by the MPID
5
CLRG_FIRM_NM
Clearing Firm Name
Name of Clearing Firm Organization.
64
CLRG_EFCTV_DT
Clearing Relationship
Effective Date
Format is YYYYMMDDHHMMSS
14
CLRG_XPRTN_DT
Clearing Relationship
Expiration Date
Format is
YYYYMMDDHHMMSS
14
PRMRY_CLRG_FL
Default Clearing Relationship
flag
Value will be Y or N to state if the
clearing number in this record is the
default clearing number.
1
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ORF - Equity US Agreements File
Field Name (Header)
Description
Comments
Maximum
Length
MPID
MPID of the Client
FINRA identifier assigned to the
participant.
6
AGRMT_EFCTV_DT
Effective Date for the
agreement with the
client
Format is YYYYMMDDHHMMSS
14
AGRMT_XPRTN_DT
End date for
agreement with the
client
Format is YYMMDDHHMMSS
12
UNFRM_SRVC_AGRMT_MP_ID
MPID of client with
who agreement is
based
FINRA identifier assigned to the
participant.
6
US_GIVEUP_DROP_FL
Give Up firm receives
drop copies of
transaction messages
Y or N.
ORF – Explicit Fee File
Field Name (Header)
Description
Comments
Maximum
Length
MPID_1
MPID of the Client
FINRA identifier assigned to the
participant.
6
CLRG_FIRM_NM_1
Clearing Firm Name
for first MPID
Name of Clearing Firm
Organization.
64
MPID_2
MPID of Client 2 in
file
FINRA identifier assigned to the
second participant.
6
CLRG_FIRM_NM_2
Clearing Firm Name
for second MPID
Name of Clearing Firm
Organization for second
participant.
64
AGRMT_EFCTV_DT
Effective Date for the
agreement with the
client
Format is YYYYMMDDHHMMSS
14
AGRMT_XPRTN_DT
End date for
agreement with the
client
Format is YYMMDDHHMMSS
12
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ORF - Next Day Dividend File
Field Name (Header)
Description
Comments
Maximum
Length
DAILY_LIST_TS
Daily List Date/Time
YYYYMMDDHHMMSS format.
14
OLD_SYM_CD
Old Symbol
14
NEW_SYM_CD
New Symbol
14
OLD_CUSIP_ID
Old CUSIP
9
NEW_CUSIP_ID
New CUSIP
9
OLD_SCRTY_DS
Old Security
Description
250
NEW_SCRTY_DS
New Security
Description
250
OLD_MKT_CTGRY_CD
Old Market Category
Code
u – OTC Equity
1
NEW_MKT_CTGRY_CD
New Market Category
Code
u – OTC Equity
1
EX_DT
This is the “change
effective date”, i.e.,
the effective date of
the change being
announced on the
Daily List or the Ex
Date of the Dividend.
YYYYMMDDHHMMSS format.
14
FRWRD_SPLIT_RT
Forward Split Ratio
Ratio
10
RVRS_SPLIT_RT
Reverse Split Ratio
Ratio
10
STOCK_PT
Percentage
Decimal
12; 6 after
the
decimal
CASH_AMT_TX
Cash Amount
Decimal
25
QLFD_CD
Qualified Dividend
Code
1
DAILY_LIST_RSN_CD
Change Reason
Description
Refer to Appendix B for values
and descriptions
5
CMMNT_TX
Comments
500
DVDND_MSTR_ID
Record ID
Will be a number that identifies a
Dividend/Distribution
announcement and allows the
user to tie a change to the
original announcement of an
action.
10
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
Version 15.1
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Example Requests
Example 1 - Get the current Active Equity Security Master file
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=EQUITYMASTERAC&facilit
y=ORF
Example 2 - Get the current Inactive Equity Security Master file
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=EQUITYMASTERIN&facility
=ORF
Example 3 - Get the Security Daily List
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=DAILYLIST&facility=ORF
Example 4 - Get the Security Daily List Delta
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DELTA&file=DAILYLIST&facility=ORF
Example 5 - Get the Security Daily List for a Specific Day (11/17/2014)
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=DAILYLIST&facility=ORF&d
ay=11/17/2014
Example 6 - Get the current Equity Participant Master file
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=PARTICIPANT&facility=OR
F
Example 7 - Get the current Equity Participant Daily List
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=PDAILYLIST&facility=ORF
Example 8 - Get the current Equity Participant Daily List Delta
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DELTA&file=PDAILYLIST&facility=ORF
Example 9 - Get the current Equity Participant Daily List for a Specific Day (11/17/2014)
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=PDAILYLIST&facility=ORF&
day=11/17/2014
Example 10 - Get the current Equity Clearing Relationship Master file
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=EQUITYCLEAR&facility=OR
F
Example 11 - Get the current Equity US Agreements Master file
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=EQUITYUSA&facility=ORF
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
Version 15.1
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Example 12 - Get the current Explicit Fee file
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=EQUITYEXPLICITFEE&facili
ty=ORF
Example 13 - Get the Next Day Dividend with Specific Next Day Date Included (5/11/2015)
https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOAD&file=NXTDAYDIV&facility=ORF
&day=5/11/2015
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
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Sample Results
Active Equity Security Master File Illustrating the Header and Footer
FINRA_OTC_ID|CUSIP_ID|SYM_CD|SYM_SUF_CD|SCRTY_DS|RND_LOT_QT|CPN_RT|DTC_ELGBL_FL|SCR
TY_TYPE_CD|WIS_DSTRD_CD|STTS_CD|NACTV_DT|TEST_SCRTY_FL|PRICE_CK_FL|SCRTY_EFCTV_TS|S
IP_SYM_ID|OTCBB_QUOTE_FL|CLASS_TX|OFRNG_TYPE_CD|MTRTY_XPRTN_DT|NSCC_ELGBL_FL|DSMTN_
FL|SUBJ_CRPRT_ACTN_CD|ADR_ORDNY_SHARE_RT|BRKR_PRTCT_PRD_FL|PGYBK_ELGBL_FL|REG_FEE_F
L|REG_SHO_FL|RULE_4320_FL|OATS_RPTBL_FL|FNNCL_STTS_CD|LAST_UPDT_TS
20040602||AAAG||AAA Century Group USA, Inc. Common
Stock|100||Y|COMS||A||N|Y|20110615000000|AAAG|N||N||Y|Y||||N|Y|N|Y|Y|N|201905151509
02
20036996||AAAIF||Alternative Investment Trust Units
(Austrailia)|100||N|UNOT||A||N|Y|20111129000000|AAAIF|N||N||Y|Y||||N|Y|N|Y|Y||20180
319215342
20032387||AAALF||Aareal Bank AG
AKT|100||N|ORDY||A||N|Y|20020627000000|AAALF|N||N||Y|Y||||N|Y|N|Y|Y||20141205220124
20110757||ZZHGF||Zhongan Online PC Ins Co Ltd. Ordinary Shares
(China)|100||Y|ORDY||A||N|Y|20171213000000|ZZHGF|N||N||Y|Y||||N|Y|N|Y|Y||2019012822
1035
20110735||ZZHGY||ZhongAn Online P & C Insurance Co., Ltd American Depositary
Receipts - Unsponsored
(China)|100||Y|ADRU||A||N|Y|20171206000000|ZZHGY|N||N||Y|Y||1:1||N|Y|N|Y|Y||2018031
9215342
20036625||ZZLL||ZZLL Information Technology, Inc. Common
Stock|100||Y|COMS||A||N|Y|20070919000000|ZZLL|N||N||Y|Y||||N|Y|Y|N|Y||2018052108340
5
20034373||ZZZOF||Zinc One Resources, Inc. Common
Shares|100||Y|CMSH||A||N|Y|20100723000000|ZZZOF|N||N||Y|Y||||N|Y|N|Y|Y||20180904234
602
Footer - Count: 00016706, Facility: ORF, File Created: 20240410124954
Equity Participant Master File Illustrating the Header and Footer
mpid|dba_nm
AALC|THRIVENT INVESTMENT MANAGEMENT INC.
ABEX|303 ALTERNATIVES, LLC
ABLE|NATIXIS SECURITIES AMERICAS LLC
ABRM|ABRAHAM & CO., INC.
ZDIB|ZIONS DIRECT, INC.
ZDNF|ZIONS DIRECT, INC.
ZERO|TRADEZERO AMERICA, INC.
ZIVI|ZIV INVESTMENT COMPANY
ZOUL|N.B. ZOULLAS SECURITIES, INC.
ZPFD|B. C. ZIEGLER AND COMPANY
ZZZZ|KSAN FOR MPP TESTING
Footer - Count: 00001159, Facility: ORF, File Created: 20240410125507
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Equity Clearing Relationship Master File Illustrating the Header and Footer
MPID|CLRG_ORG_NB|CLRG_FIRM_NM|CLRG_EFCTV_DT|CLRG_XPRTN_DT|PRMRY_CLRG_FL
AABA|0158|APEX CLEARING CORPORATION|||Y
AABT|5231|Unknown - Not in DTCC File|||Y
AACC|0541|ABN AMRO CLEARING CHICAGO LLC/INSTITUTIONAL|||Y
ZZZZ|0122|TEST ACCOUNT FORWARD TO P & S DEPT|20220126000000||N
ZZZZ|9999|FNRA MKT OPS|20230119000000||Y
Footer - Count: 00005250, Facility: ORF, File Created: 20240410130333
Equity US Agreements Master File Illustrating the Header and Footer
MPID|AGRMT_EFCTV_DT|AGRMT_XPRTN_DT|UNFRM_SRVC_AGRMT_MP_ID|US_GIVEUP_DROP_FL
ABLE|19931220000000|20200929000000|ECUT|N
ABLE|19931220000000||FMCO|N
ABLE|19931220000000||FOMA|N
NTFG|20221206000000||NTFY|N
XCNC|20240327000000||GSCO|N
Footer - Count: 00016083, Facility: ORF, File Created: 20240410130522
Explicit Fee File Illustrating the Header and Footer
MPID_1|CLRG_FIRM_NM_1|MPID_2|CLRG_FIRM_NM_2|AGRMT_EFCTV_DT|AGRMT_XPRTN_DT
VERT|BNP PARIBAS SECURITIES CORP.|BMOC|BMO CAPITAL MARKETS CORP.|11/18/2015
12:00:00 AM|
CANT|CANTOR FITZGERALD & CO.|MAXM|PERSHING LLC|8/13/2014 12:00:00 AM|
CANT|CANTOR FITZGERALD & CO.|YAMN|PERSHING LLC|8/13/2014 12:00:00 AM|11/13/2018
12:00:00 AM
SSBS|STATE STREET GLOBAL MARKETS, LLC|BAYC|MERRILL LYNCH, PIERCE, FENNER & SMITH
INCORPORATED|7/28/2016 12:00:00 AM|
Footer - Count: 00000135, Facility: ORF, File Created: 20240410130636
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Appendices
Appendix A – Version 2.0 Summary of Changes
Equity Security Master File
Previous Field Name
New Field Name
Previous Maximum
Length
New Maximum
Length
FINRA_EQTY_ID
FINRA_OTC_ID
(FIELD ADDED)
SYM_SUF_CD
7
CPN_RT
28
6
WIS_DIS_CD
WIS_DSTRD_CD
SUBJ_CRPRT_ACTN_FL
SUBJ_CRPRT_ACTN_CD
1
2
ORDNY_ADR_RT
ADR_ORDNY_SHARE_RT
4320_FL
RULE_4320_FL
(FIELD ADDED)
OATS_RPTBL_FL
1
(FIELD ADDED)
FNNCL_STTS_CD
1
TS
LAST_UPDT_TS
Daily List File
Previous Field Name
New Field Name
Previous Maximum
Length
New Maximum
Length
DAILY_LIST_EFCTV_TS
DAILY_LIST_TS
OLD_FNNCL_STTS_DS
OLD_FNNCL_STTS_CD
50
1
NEW_FNNCL_STTS_DS
NEW_FNNCL_STTS_CD
50
1
OLD_ORDNY_ADR_RT
OLD_ADR_ORDNY_SHARE_RT
NEW_ORDNY_ADR_RT
NEW_ADR_ORDNY_SHARE_RT
OLD_XPRTN_DT
OLD_MTRTY_XPRTN_DT
NEW_XPRTN_DT
NEW_MTRTY_XPRTN_DT
OFRNG_TYPE_DS
OFRNG_TYPE_CD
50
1
SUBJ_CRPRT_ACTN_DS
SUBJ_CRPRT_ACTN_CD
50
2
SPLIT_FCTR_RT
FRWRD_SPLIT_RT
11
10
(FIELD ADDED)
RVRS_SPLIT_RT
10
STOCK_PT
11
12 (chged to 12 in
version 9)
CASH_DVDND_AM
CASH_AMT_TX
11
25
ADR_FEE_AM
11
12 (chged to 12 in
version 9)
ADR_TAX_RLF_AM
11
12 (chged to 12 in
version 9)
ADR_GRSS_RT
ADR_GROSS_RT
11
18
ADR_NET_RT
11
18
ADR_ISSNC_FEE_AM
11
12 (chged to 12 in
version 9)
ADR_WTHLD_TAX_AM
ADR_WHLDG_TAX_PT
11
12 (chged to 12 in
version 9)
QLFD_DVDND_DS
QLFD_CD
50
1
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
Version 15.1
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Previous Field Name
New Field Name
Previous Maximum
Length
New Maximum
Length
DAILY_LIST_RSN_DS
DAILY_LIST_RSN_CD
50
5
DVDND_TYPE_CD
(FIELD DELETED)
2
DVDND_NON_ADR_FL
(FIELD DELETED)
1
DVDND_ADR_FL
(FIELD DELETED)
1
Added - Equity Participant Daily List Data Layout
Field Name
(Header)
Description
Comments
Maximum Length
list_dt
Daily List Date
Format is
MMDDYYYY
effective_dt
Effective Date
Format is
MMDDYYYY
cd_description
Event Type
Valid values are:
Participant Addition
Participant Deletion
Participant Change
old_mpid
Market Participant Identifier
6
old_dba
Firm Name
64
new_mpid
New Market Participant
Identifier
6
new_dba
New Firm Name
64
rf_cd
Reporting Facility
Value will always be ORF
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
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Appendix B – Daily List Reason Code Descriptions:
Daily List Reason Code
DAILY_LIST_RSN_CD
Daily List Reason Code Description
12J
12(j)Registration Revoked by SEC
ADD
Addition
AMM
Acquisition/Merger/Amalgamation
BCD
Bankruptcy Case Dismissed
BCSHD
Bankruptcy Cash Distribution
BPESC
Bankruptcy Plan Effective/Shares Cancelled
BSD
Bankruptcy Plan Effective Shares Cancelled/Distribution
BSTKD
Bankruptcy Stock Distribution
CALLD
Called
CCD
Charter Cancelled/Dissolution
CDR
Cash Dividend Regular
CDRS
Cash Dividend Regular and Special
CDS
Cash Dividend Special
CNVRC
Conversion/Reclassification
CSDR
Cash and/or Stock Dividend Regular
CSDRS
Cash and/or Stock Dividend Regular and Special
CSDS
Cash and/or Stock Dividend Special
CSPCD
CUSIP Change
CSPSP
CUSIP Suspended
DCSHD
Default Interest (Cash) Distribution
DSTKD
Default Stock Distribution
EFB
Emerged from Bankruptcy
F6530
Failure to Comply with FINRA Rule 6530
FS
Forward Split
FSCCD
Forward Split/CUSIP Change
FSCE
Financial Status Change Delinquent = E
FSCJ
Financial Status Change Bankrupt and Delinquent = J
FSCL
Financial Status Change Liquidation = L
FSCLD
Financial Status Change Liquidation and Delinquent = H
FSCQ
Financial Status Change Bankruptcy = Q
IN
Ineligible
LFD
Liquidation/Final Distribution
MATCD
Maturity Date Change
MATEX
Matured/Expired
MCDBT
Market Center Change Delisted from BATS
MCDCE
Market Center Change Delisted from CBOE
MCDAX
Market Center Change Delisted from AMEX
MCDAR
Market Center Change Delisted from ARCA
MCDNQ
Market Center Change Delisted from NASDAQ
MCDNY
Market Center Change Delisted from NYSE
MCDIX
Market Center Change Delisted from IEX
MCLBT
Market Center Change Listed on BATS
MCLCE
Market Center Change Listed on CBOE
Web API Specifications for the OTC Reporting Facility File Downloads - ORF
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Daily List Reason Code
DAILY_LIST_RSN_CD
Daily List Reason Code Description
MCLAX
Market Center Change Listed on AMEX
MCLAR
Market Center Change Listed on ARCA
MCLNQ
Market Center Change Listed on NASDAQ
MCLNY
Market Center Change Listed on NYSE
MCLIX
Market Center Change Listed on IEX
MCFOT
Market Center Change Moved from OTCE
MCFTR
Market Center Change Moved from TRACE
MCTOT
Market Center Change Moved to OTCE
MCTTR
Market Center Change Moved to TRACE
MCSPM
Market Center Change to Sub Product Move
NACTV
Inactive Security
NMCCD
Name/CUSIP Change
NMCHG
Name Change
NMSMC
Name/Symbol/CUSIP Change
NMSYM
Name/Symbol Change
O
Other
PRVTN
Company Going Private
RDMPT
Redemption
RNDUP
Round Lot Size Update
RSFS
Reverse Split followed by Forward Split
RSCCD
Reverse Split/CUSIP Change
RSFFS
Reverse Split followed by Forward Split/CUSIP Change
RSTMT
Reinstatement
SDPAS
Stock Dividend Payable in Another Security
SDR
Stock Dividend Regular
SDRS
Stock Dividend Regular and Special
SDS
Stock Dividend Special
SO
Spin-Off
SCAFR
Subject to Corporate Action Flag Removed
SCTUN
Sponsored to Unsponsored Conversion
SYMCD
Symbol Change
TERMD
ADR/GDR Program Terminated
TO
Tender Offer
F1534
Terminated Registration under the 34 Act
UNTSC
Unsponsored to Sponsored Conversion
US
Unit Separation
XCHG
Exchanged
XR
Ex Rights
XTRDH
Extended Trading Halt
XW
Ex Warrants
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Appendix C – Equity Master Security Type Cd Descriptions:
Security Type Code
SCTRY_TYPE_CD
Security Type Code Description
ADRS
American Depository Receipts – Sponsored
ADRU
American Depository Receipts – Unsponsored
ADSS
American Depository Shares – Sponsored
ADSU
American Depository Shares – Unsponsored
CERT
Trust Certificates
CMSH
Common Shares
COMS
Common Stock
DPRT
Depository Receipts
DPSH
Depository Shares
ETF
Exchange Traded Fund
ETN
Exchange Traded Note
FETF
Foreign Exchange Traded Fund
GBDR
Global Depository Receipts – Sponsored
GBDS
Global Depository Shares – Sponsored
GBRU
Global Depository Receipts – Unsponsored
GBSU
Global Depository Shares - Unsponsored
LQTR
Liquidating Trust
LTDP
DPP/Limited Partnership
MGFS
Managed Fund Shares
ORDY
Ordinary Fund Shares
OTHR
Other
PREF
Preference Shares
PRFS
Preferred Stock
REIT
REIT
RTCL
Rights Contingent Litigation
RTCU
Rights Currency
RTCV
Contingent Value Rights
RTOT
Rights
TRST
Shares of Beneficial Interest
UNOT
Unit
WRCL
Warrant Contingent Litigation
WRCU
Warrant Currency
WROT
Warrant
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Programmatic Access Example(curl)
The following is a code excerpt to illustrate how to use the MPP Download site programmatically.
Example using the Equity Security Master (Active)
#!/bin/bash
URL_REFRESH=https://apidownload.finratraqs.org/refresh [apidownload.finratraqs.org]
URL_DOWNLOAD=https://apidownload.finratraqs.org/DownloadHandler.ashx?action=DOWNLOA
D&file=EQUITYMASTERAC&facility=ORF [apidownload.finratraqs.org]
USER_NAME="Finrausr"
FAILEDSTATUS="HTTP/1.1 401 Token is inactive or expired."
FAILEDREFRESHSTATUS="Refresh Token is invalid or has expired."
update_tokens(){
# Get a new access_token
# install jq command - sudo apt-get install jq
tmp="$(mktemp)"
curl -s -X POST --url "${URL_REFRESH}" \
--header "content-type: application/x-www-form-
urlencoded" \
--data
"username=${USER_NAME}&refreshtoken=${refresh_token}" > "${tmp}"
read failedrefreshstatus < <(cat "${tmp}" | tr -d '\r')
#check if refresh token is invalid
if [ "${failedrefreshstatus}" = "${FAILEDREFRESHSTATUS}" ] ; then
echo "${failedrefreshstatus}"
echo ""
exit 1
fi
read refresh_token < <( cat "${tmp}" | jq .refresh_token | tr -d
'"' )
read access_token < <( cat "${tmp}" | jq .access_token | tr -d '"' )
#echo "${refresh_token}" > refresh_token.txt
echo "Requested new access token cached"
echo ""
echo "${access_token}" > access_token.txt
rm -f "${tmp}"
}
# The Refresh Token
read refresh_token < refresh_token.txt
echo "Your refresh token is ${refresh_token}"
echo ""
# The Access Token
access_token=""
if [ -f "access_token.txt" ]; then
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read access_token < access_token.txt
fi
echo "Your current access token: ${access_token}"
echo ""
if [ -z "${access_token}" ]; then
echo "No cached access token; getting new access token!"
echo ""
update_tokens
read access_token < access_token.txt
echo "Your new access token: ${access_token}"
echo ""
fi
tmp="$(mktemp)"
echo "Validating access token..."
echo ""
#get curl header status for token validity
httpstatus=$(curl -s -I --url "${URL_DOWNLOAD}" \
--header "Authorization: Bearer ${access_token}" \
| awk 'NR==1{print $0} END {print $0}' | tr -d '\r')
#echo "$httpstatus" > httpstatus.txt
#echo "$FAILEDSTATUS" > failedstatus.txt
#check if token is invalid
if [ "${httpstatus}" = "${FAILEDSTATUS}" ] ; then
echo "Invalid/expired access token, requesting new access token!"
echo ""
update_tokens
read access_token < access_token.txt
echo "Your new access token: ${access_token}"
echo ""
fi
echo "Request download with access token!"
echo ""
#download file (this uses option -OJ, getting the file name from the content-
disposition
# if file exists, this will fail.)
curl -s -OJ -X POST --url "${URL_DOWNLOAD}" \
--header "Authorization: Bearer ${access_token}" \
--data "username=${USER_NAME}"
ls -lrt
#cat "${tmp}"
rm -f "${tmp}"
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Programmatic Access Example(C#, .Net)
The following is a code excerpt to illustrate how to use the MPP Download site programmatically. If you are
going to access the site with an application the first step is to download the NWSF client certificate using your
web browser. Install it in the browser then export the certificate from the browser, saving the certificate to a
location on the machine as an X905 certificate (.cer).
Example using the active Equity Security Master:
string Action = "DOWNLOAD";
string file = "EQUITYMASTERAC";
string facility = "ORF";
string site = "https:// download.finratraqs.org/DownloadHandler.ashx";
string query = string.Format("{0}?action={1}&file={2}&facility={3}", site,
Action, file, facility);
// Create request
HttpWebRequest webRequest = WebRequest.Create(query) as HttpWebRequest;
// Get cert and add to request
X509Certificate Cert =
X509Certificate.CreateFromCertFile("C:\\MPP\\cert\\mpp_cert.cer");
webRequest.ClientCertificates.Add(Cert);
webRequest.Method = "GET";
// Add nwsf user/password to request
NetworkCredential nwCredentials = new NetworkCredential("user", "pwd");
webRequest.Credentials = nwCredentials;
// Make the request
HttpWebResponse Response = (HttpWebResponse)webRequest.GetResponse();
// Fiddle with the header in the response to get the file name
int pos = Response.Headers["Content-Disposition"].IndexOf("ORF");
string Filename = Response.Headers["Content-Disposition"].Substring(pos);
// Create a file to save it in ..
StreamWriter sw = new StreamWriter("C:\\MPP\\files\\" + Filename, false);
StreamReader sr = new StreamReader(Response.GetResponseStream(),
Encoding.Default);
int cnt;
char [] ReadBuf = new char[1024];
while ((cnt = sr.Read(ReadBuf, 0, 1024)) != 0)
{
sw.Write(ReadBuf, 0, cnt);
}
sw.Close();
sr.Close();
