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IPO Distribution Manager

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Printer-Friendly Last Updated: 4/15/08 IPO Distribution Manager

IPO Distribution Manager has replaced Compliance Desk. See Notice to Members 04-20 for the new regulatory process. Also see Notice to Members 03-79 for new Rule 2790 that replaces the Free-Riding and Withholding Interpretation (IM-2110).

IPO Distribution Manager is a web-based application that facilitates the transmission of new issue distribution information from the managing underwriter to FINRA.  Prior to using IPO Distribution Manager, each member firm must obtain a member firm identification number.  In addition, member firm personnel must register to use IPO Distribution Manager.  Please note that only registered users can access IPO Distribution Manager.  Choose at least one Coordinator to act as the firm's contact person.

The Department will issue a unique Firm ID to the Coordinator only.  The Firm ID is required before users can register and the Coordinator must register first.  To request a Firm ID, the Coordinator must send an email with the following information:

Member firm legal name;
Member firm CRD number;
Member firm address (include city, state and zip code);
Name of the Coordinator;
Email address of the Coordinator; and
Telephone number of the Coordinator.

1. An email with the Firm ID will be sent to the Coordinator along with a Coordinator Guide.
2. Complete the registration information at https://www.cobradesk.com/ipodistrmgr. Click Register.
3. Please keep the user name and password you select in a safe place.  Password resets will take a minimum of 48 hours to process.
4. A confirmation email will be sent to the registrant.
5. You can access IPO Distribution Manager at https://www.cobradesk.com/ipodistrmgr.  Click Log On.  Enter the user name and password you selected when registering.

The IPO Distribution Manager User Guide will provide firm id request and user registration information, and instructions on filing initial and final distribution information to FINRA Corporate Financing Department.