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

Dispute Resolution Applications:

https://forms.finra.org/adr/LoadForm.aspx?FormQuery=DRClaimInfo

https://DRPortal.finra.org

http://www.finra.org/BecomeAnArbitrator/OnlineApplication

FINRA Contact System (FCS)

https://firms.finra.org/fcs

IARD

https://crd.finra.org/iad

New Member Application

http://www.finra.org/OnlineFormNMA/

Order Audit Trail System (OATS)

Certification Test Environment (CT) 
https://firmstest.finra.org/

 

Production Environment (PD)
https://firms.finra.org/

Regulation Filing Applications

https://firms.finra.org/forms

Report Center

https://firms.finra.org/reportcenter

Surveillance

FINRA and SEC use only

Web CRD

https://crd.finra.org