FINRA Forms

For your convenience, we have compiled below a list of links to all FINRA forms that are available online, alphabetically by topic. 

The Order Print Publications page contains instructions for ordering hard copies of certain forms.

 


Advertising Regulation 

 


BrokerCheck 

 


Central Registration Depository

 


Order Audit Trail System (OATS) 

 


Reg T

  • Reg T is the regulation that governs the extension of credit by and to broker-dealers.
  • Reg T Extension Request Form
  • Questions concerning this form and/or Reg T may be directed to Susan DeMando at (202) 728-8411.

 


Trading Activity Fee

 


Web Information Request (Web IR)

  • To request access to Web Information Request (Web IR), please visit the FINRA Entitlement Forms & Confirmation Packet page for the FINRA Entitlement Agreement (NEA), the Web IR Account Administrator Entitlement Form (AAEF) and Modification Form.
  • Questions? Please contact the FINRA Gateway Call Center at (800) 321-6273.

 


Web-Based FOCUS

  • The User Account Acknowledgment Form (UAAF) and the Account Administrator Entitlement Form are no longer available on the Web. To obtain a hard copy of the forms, please call (800) 321-6273.
  • Questions? Email the FOCUS group.