This form is the Agreement that firms must submit to FINRA in order to access the participating Web-based applications. The form must be signed by an officer of the organization or otherwise have the legal Authority to bind the organization. This form must be mailed* with original signature.
FINRA must have a fully executed FINRA Entitlement Agreement (FEA) on file for your organization prior to processing any entitlement request.
(If you are uncertain whether an FEA is on file with FINRA, check with your firm's Account Administrator or contact the Gateway Call Center at (301) 869-6699 (broker-dealer firms) or (240) 386-4848 (investment adviser firms).
FINRA Processing Time
Please allow approximately two business days from receipt of non-deficient Entitlement Forms for processing.
* Please note that sending the FINRA Entitlement Agreement by regular mail may take approximately 5-7 business days to reach FINRA's Entitlement Group. Firms may want to consider using express mail if they want to expedite the form receipt process.
