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Printer-Friendly Last Updated: 3/19/07 FINRA Forms

For your convenience, we have compiled below a list of links to all FINRA forms that are available online, alphabetically by topic. Please note that some of these forms are only available in PDF (Portable Document Format) files. If you do not have the Adobe^® Acrobat Reader 3.0 to view PDF files, please download the free plug-in.

Advertising Regulation 

• Advertising/Investment Companies Regulation Forms

Questions? Please contact the Advertising/Investment Companies Regulation Department at (202) 728-8330.

Bookstore (FINRA Publications)

• Complete list of publications available from FINRA MediaSource.
• Print the MediaSource Order Form for submission to FINRA.
• Contact FINRA MediaSource at (240) 386-4200.

BrokerCheck 

• Broker Comment Request Form 

Central Registration Depository

• Uniform Registration Forms
• • Current Uniform Registration Forms for Electronic Filing in Web CRD  (U4, U5, BD, and BDW)
  • Form U10
  • • Submit U10 online with credit card payment
    • Print and submit U10 with check or money order (PDF 55 KB)

Questions? Email FINRA's CRD Gateway staff.

Complaint Program

• File an Investor Complaint
• File a Regulatory Tip 

FINRA Contact System (FCS)

FCS facilitates member reporting of key contacts to FINRA. Members are required to report a variety of key contacts by FINRA rules and by-laws. Designated member contacts are used to facilitate member voting in FINRA elections, compliance with various rules and by-laws, and to improve FINRA's communication with our members.

For further information online, such as process details, Frequently Asked Questions, application instructions, and access to the system, please visit the FINRA Contact System foyer page.

Questions? Email FCS staff.

FINRA Dispute Resolution (Arbitration/Mediation) 

• How to become a FINRA Dispute Resolution Arbitrator:
• View our Become an Arbitrator brochure
• Arbitrator Application and Profile
• Dispute Resolution Uniform Forms Packet
  (includes link to Uniform Forms Guide, Claimant(s) Uniform Submission Agreement, and Respondent(s) Uniform Submission Agreement)
• How to become a FINRA Dispute Resolution Mediator:
  View the Become A Mediator! brochure for further information, or email us to request that an application be mailed to you.
• Non-California Attorney Certification Form

Questions? Contact FINRA Dispute Resolution at (646) 835-5700 or send us an email.

Order Audit Trail System (OATS) 

• OATS Subscriber Initiation and Registration Form

Questions? Email FINRA's Business and Technology Support Services.

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.

Report Center

The Report Center is a secure Web site where participating member firms can access compliance data and reports from various FINRA departments in a single location. More information about the Report Center is located on this Web Site.

To request access to the Report Center, please visit the FINRA Entitlement Forms & Confirmation Packet page for the FINRA Entitlement Agreement (NEA), the Report Center Account Administrator Entitlement Form (AAEF) and Modification Form.

Questions? Email the Report Center staff.

Trading Activity Fee 
 
Trading Activity Self-Reporting Form (TAF)

 
Find information about the TAF form in NTM 05-23.
 
Questions? Contact FINRA Finance at (240) 386-5397.

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.