Entitlement Information for Service Providers

The following information applies only to service providers that require access to the Order Audit Trail System (OATS) and/or File Transfer Applications on behalf of FINRA member firms.

 

Only an officer who is authorized to act on behalf of the organization may request the forms listed below. These forms are not available on the website and must be requested by an Authorized Signatory of your organization by contacting the Gateway Call Center at (301) 590-6500.

 

  • FINRA Entitlement Agreement (FEA)  (required)
    Service providers must complete the FEA and submit it to FINRA. The agreement 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 Account Administrator Entitlement Form (AAEF), FTP/IFT, or FTP File Transfer Applications/Download request. If you are uncertain whether your organization has an FEA on file with FINRA, contact the FINRA Entitlement Group at (240) 386-4185.
  • OATS Account Administrator Entitlement Form (AAEF) (required)
    Complete this form to request OATS Account Administrator (AA) accounts for your service provider. The AA for OATS will perform the role of OSO Administrator.
  • OATS FTP/IFT Entitlement Form  (optional)
    Complete this form to request a File Transfer Protocol/Internet File Transfer (FTP/IFT) account for OATS. The FTP/IFT account will have the capability to send and receive files or send files only.
  • FTP File Transfer Applications/Download Entitlement Form (optional)
    Complete this form to request File Transfer Applications (e.g., Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and Rex File Transfer, etc.) which are used by organizations to send and receive files through FTP; or the CRD XML Web Service Pre-registration Download which is used by FINRA-registered firms, with an active subscription to Web EFT, to download residential and employment history information for individuals for whom they intend to file U4 Initial/Relicense filings.

 
The FINRA Entitlement Group confirms the identity of the requester and pre-populates the form with firm information. FINRA sends the form only to the contact information for the Authorized Signatory.

 

When the completed form is returned to FINRA, the pre-populated information on the form must match the information provided by FINRA (i.e., organization name, org ID #). FINRA assigns a unique identifier to each request and therefore, a firm cannot re-use the form for subsequent requests.

 

Please review the instructions for more information and allow approximately four business days for an FTP user account to be processed.

 

For questions or to request an Entitlement Form, contact the Gateway Call Center General Information (301) 590-6500.