When and how will a firm be able to receive reports for submitted extension requests?
Firms will be able to view all of their extension requests online shortly after submission regardless of how they submit such extensions. Firms that use a batch process using File Transfer Protocol (FTP) or Secure File Transfer Protocol (SFTP) will receive their reports via FTP or SFTP. Firms using a service provider will not receive reports directly from FINRA through FTP or SFTP; they will need to access their reports through their service provider.
