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.

 

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Advertising Regulation 

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

 

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BrokerCheck 

• Broker Comment Request Form

 

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Central Registration Depository

• Current Uniform Registration Forms for Electronic Filing in Web CRD  (U4, U5, BD, BDW, and Form BR)
• 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.

 

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Order Audit Trail System (OATS) 

• OATS Subscriber Initiation and Registration Form
• Questions? Email FINRA's Business and Technology Support Services.

 

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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.

 

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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.

 

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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.

 

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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.

 

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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.