FINRA Entitlement Systems/Applications Information

The first step to getting started on an application residing on the FINRA Entitlement platform is setting up a User Account via a process called Entitlement. The Entitlement Process encompasses FINRA systems on the FINRA Entitlement platform that FINRA owns and operates as a private sector regulator and systems that FINRA operates on behalf of other regulators. Becoming entitled grants your firm access to one or more of the following secure systems residing on the FINRA Entitlement platform:

 

Information on Systems/Applications:	Login to a System/Application:
2711 - Annual Attestation of Compliance	https://firms.finra.org/2711
IARD	https://crd.finra.org/iad
FINRA Contact System (FCS)	https://regfiling.finra.org/contacts/ncs_contacts.aspx
Report Center	https://firms.finra.org/reportcenter
New Member Application	http://www.finra.org/OnlineFormNMA/
Order Audit Trail System (OATS)	Certification Test Environment (CT)  https://oatstest.finra.org/   Production Environment (PD) https://oats.finra.org/
Online Dispute Resolution (Online DR)	https://forms.finra.org/ADR/LoadForm.aspx
Regulation Filing Applications	https://firms.finra.org/forms
Surveillance	FINRA and SEC use only:
Web CRD	https://crd.finra.org
Web Information Request (Web IR)	https://firms.finra.org/webir