FINRA Entitlement Modification Forms

An Entitlement Modification form is used to modify information for an Organization's Account Administrator including personal data or privileges; disable an account; or, delete access to a specific application for an Organization's Account Administrator. This form should also be used when an Organization's Account Administrator needs to request updates to another Account Administrator at the Organization. This form must be signed by an Account Administrator requesting the modifications and may be faxed. These forms are formatted so that firms may complete them online and then print for either mailing or faxing.

• eFOCUS Modification Form (Clearing and Carrying Firms Only) (PDF 83 KB)
  
  
• New Member Application Modification Form 7/07 (New FINRA Members that applied prior to June 26, 2008) (PDF 168 KB)
  
  
• New Member Application Modification Form 6/08 (New FINRA Members that applied on or after June 26, 2008) (PDF 77 KB)
  
  
• Order Audit Trail System (OATS) Modification Forms
  
• • FINRA Member Firms & NASDAQ Members (Account Administrator) (PDF 702 KB)
  • FINRA Member Firms & NASDAQ Members (FTP/IFT User) (PDF 671 KB)
    
    
  • Service Providers (Account Administrator) (PDF 115 KB)
  • Service Providers (FTP/IFT User) (PDF 163 KB)
    
    
  • Visit the OATS Registration page for more information.
    
    
• Report Center Modification Form (PDF 205 KB)
  
  
• Regulation Filing Applications Modification Form (PDF 182 KB)
  
  
• Web CRD Modification Forms
  
• • FINRA Member Firms (Web CRD/FINRA Waiver Forms) (PDF 167 KB)
  • Non-Member Firms (PDF 109 KB)
  • Web CRD Participant Firms (AMEX, ARCA, BATS, BSE, CBOE, CHX, NQX or PHLX) (PDF 254 KB)
    
    
• Web Information Request (Web IR) Modification Form (PDF 106 KB)

FINRA Processing Time

 

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