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.

 

 

FINRA Entitlement Agreement (FEA)

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.

 

 

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.


 

Service Provider Entitlement Forms

To request an account administrator or FTP/IFT user account, service providers must complete the appropriate form below. These forms must be printed and signed by an account administrator or designated organization signatory and may be faxed, emailed or mailed to FINRA.
 

 

Service Provider Modification Forms

Service providers may use the following forms to modify account information, including: changes to personal data or privileges; deleting access to the FTP/IFT applications; or requesting updates to another account administrator at the organization. These  forms must be printed and signed by the account administrator requesting the modifications and may be faxed, emailed 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.