Adding Financial Industry Regulatory Authority configuration settings

You can configure access to the Financial Industry Regulatory Authority (FINRA) database from IBM^® Producer Lifecycle and Credential Management. With the use of a scheduling tool, Producer Lifecycle and Credential Management can then import and export data to and from FINRA.

1. Click System Operations > System Config Settings.
2. On the FINRA tab, click the Edit icon.
3. From the FINRA Config Indicator drop-down list, select Yes.
4. Complete the following fields:

   Field	Description
   FINRA User ID	The user ID used to access the FINRA server.
   FINRA Password	The password used to access the FINRA server.
   FINRA FTP Server	The address of the FINRA server.
   Download Service Directory	The directory where you can access the files.
   EFT Download Service Indicator	Select Yes if you subscribe to the FINRA download file service. After a U4 is filed for a producer, Producer Lifecycle and Credential Management receives daily feeds of changes to the FINRA credentials of the producer. For example, exam windows and state registrations for a producer is sent to Producer Lifecycle and Credential Management from FINRA.
   EFT Form Filing Service Indicator	Select Yes if you subscribe to the form filing service. This allows you to terminate or register a producer to sell securities with your firm.

5. Click OK.