Account Administrator Entitlement Forms (AAEF)

An AAEF is used to designate an individual as an Organization's Account Administrator (Primary, Alternate or Replacement Primary) for a participating FINRA Entitlement Program application. This form must be signed by an Account Administrator or designated firm signatory and may be faxed. These forms are formatted so that firms may complete them online and then print for either mailing or faxing.

• eFOCUS AAEF (Clearing and Carrying Firms Only) (PDF 74 KB)
  
  
• New Member Application AAEF 7/07 (New FINRA Members that applied prior to June 26, 2008) (PDF 165 KB)
  
  
• New Member Application AAEF 6/08 (New FINRA Members that applied on or after June 26, 2008) (PDF 74 KB)
  
  
• Order Audit Trail System (OATS) AAEFs
  
• • FINRA Member Firms & NASDAQ Members (Account Administrator) (PDF 153 KB)
  • FINRA Member Firms & NASDAQ Members (FTP/IFT User) (PDF 81 KB)
    
    
  • Service Providers (Account Administrator) (PDF 255 KB)
  • Service Providers (FTP/IFT User) (PDF 546 KB)
    
    
  • Visit the OATS Registration page for more information.
    
    
• Regulation Filing Applications AAEF  (PDF 137 KB)
  
  
• Report Center AAEF (PDF 116 KB)
  
  
• Web CRD AAEFs (select the form applicable to your firm):
  
• • FINRA Member Firms (Web CRD/FINRA Waiver Forms) (PDF 171 KB)
  • Non-Member Firms (PDF 277 KB)
  • Web CRD Participant Firms (AMEX, ARCA, BATS, BSE, CBOE, CHX, NQX or PHLX) (PDF 170 KB)
    
    
• Web Information Request (Web IR) AAEF (PDF 96 KB)

FINRA Processing Time

 

Please allow approximately two business days from receipt of non-deficient Entitlement Forms for processing.