Entitlement Information for Service Providers
The following forms must be completed by service providers that require access to the Order Audit Trail System (OATS) and/or File Transfer Applications on behalf of FINRA member firms.
As a first step to accessing FTP/IFT user accounts, service providers must complete the FEA form and submit it to FINRA. The form must be signed by an officer of the service provider’s organization or otherwise by an individual who has the legal authority to bind the organization. The form must be mailed with an original signature.
FINRA must have a fully executed FEA on file for a service provider prior to processing any requests. If you are uncertain whether your organization has an FEA on file with FINRA, contact the FINRA Entitlement Group at (240) 386-4185.
To request an account administrator (primary, alternate or replacement primary) or FTP/IFT user account, service providers must complete the appropriate form below. These forms—which may be filled out electronically—must be printed and signed by an account administrator or designated organization signatory and may be faxed or mailed to FINRA.
Service providers may use the following forms to modify account information, including: changes to personal data or privileges; disabling an account; deleting access to the FTP/IFT applications; or requesting updates to another account administrator at the organization. These forms—which may be filled out electronically—must be printed and signed by the account administrator requesting the modifications and may be faxed or mailed to FINRA.
FINRA Processing Time
Please allow approximately two business days for processing upon receipt of non-deficient Entitlement Forms for service provider account administrators and four business days for FTP/IFT user accounts.